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The firm agreed to settle charges with the regulator after it charged LPL Financial supervisors failed to ensure the suitability of certain transactions made by reps on behalf of clients.
Industry experts cited the DOL’s fiduciary rule, further guidance on the SEC’s marketing rule and potential movement on unpaid FINRA arbitration awards as possible developments in 2024.
These nine episodes provide diverse points of view, cutting-edge information, inspirational guests and valuable insights to help advisors improve both their professional and personal lives.
