FINRA’s National Fraud and Financial Crimes Detection Programs has sent 50 cases to the SEC involving potential fraud by public companies related to COVID-19. So reports Think Advisor.
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The Financial Industry Regulatory Authority has warned its member firms that claiming IRA are free…
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While market bulls are understandably cheering the ongoing equity rally off of 2009 lows, the…
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Smart beta funds are one of the hottest trends on Wall Street and are generating…
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A recent Government Accountability Office report maintains that 401(k) providers…
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The Department of Housing and Urban Development has changed principal…
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Since the turmoil that seized the banking sector with the mid-March failure of Silicon Valley Bank, at least 21 advisors have left First Republic Bank, with 13 heading to Morgan Stanley. So reports AdvisorHub.
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Private equity group Reverence Capital Partners is courting suitors for a minority stake in wealth…
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The NFL Players Association has approved UBS to work with current and former players through…
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The Financial Industry Regulatory Authority is backing away from its efforts to become the regulator of registered investment advisors, Reuters reports.
Richard Ketchum, chairman and chief executive officer of the self regulatory authority, recently said he doesn’t believe the U.S. House of Representatives would support the initiative. RIAs are currently regulated by the Securities and Exchange Commission.
Read the full article from Reuters.
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