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Sep 1, 2015
The Daily Brief

SEC Warns Brokers on Structured Notes 1

The Securities and Exchange Commission is warning broker/dealers that their guardrails around selling so-called structured notes are severely lacking....More
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Browse articles, comments and the answers to the most frequently asked questions about taking financial exams.

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Sep 2, 2015
The Daily Brief

Robo Reliance

In a recent survey of 134 independent financial advisors, 60 percent said they would trust a so-called robo-advisor to help manage and oversee client assets....More

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