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financial planning for lgbt couples and individuals

The Evolving Landscape of LGBT Rights and Financial Considerations in the United States

In recent years, significant progress has been made in recognizing LGBT rights in the United...

Employing High-Risk Brokers Is Going to Cost More

FINRA is taking the next steps to strengthen controls on brokers with a history of misconduct and...
cybersecurity

Are You Safe From Ransomware?

Addressing the Lessons Learned from a Global Ransomware Attack The importance of robust...

Sanction Guidelines Revised

FINRA, through the National Adjudicatory Council (NAC), has reviewed and revised the Sanction...
financial planning for military retirees

Military Retirement Planning

The Thrift Savings Plan (“TSP”) is a retirement savings plan for federal employees, and...

The Grass Is Greener On The Other Side

FINRA Rule 2273 requires delivery of a FINRA-created Educational Communication by the recruiting...
reliance on a compliance consultant

Reliance on a Compliance Consultant is not a Defense

IN THE MATTER OF THE ROBARE GROUP. A registered investment adviser and its principal, owner, and...
Stay updated with the SEC's recent JOBS Act amendments, exploring its relevance and impact on financial businesses.

SEC Adopts JOBS Act Amendments

The Securities and Exchange Commission (SEC) has announced the adoption of amendments aimed at...
Dive into the case study of how an S-Corp structure might not always protect financial advisers in legal situations.

S-Corp Fails to Shield Financial Adviser

LPL Financial Services (“LPL”) registered representative Ryan M. Fleischer has to pay...

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