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Regulation & Compliance

Why the fiduciary rule isn't as bad
Regulation & Compliance
Say What? Why the Fiduciary Rule Isn’t As Bad As We ThoughtSay What? Why the Fiduciary Rule Isn’t As Bad As We Thought

It’s (really) easy to obsess over the complexity and confusion created by the DOL fiduciary rule. Here’s why that’s a big mistake. They're not giving up.

byMorrison Shafroth
Nov 1, 2016
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1 Min Read
DOL building
Regulation & Compliance
The First Set of DOL FAQs, ExplainedThe First Set of DOL FAQs, Explained
byDiana Britton, David H. Lenok
Nov 1, 2016
1 Min Read
Why the fiduciary rule isn't as bad
Regulation & Compliance
What’s an Advisor’s ‘Fiduciary Responsibility’ Really Worth?What’s an Advisor’s ‘Fiduciary Responsibility’ Really Worth?
byMorrison Shafroth
Oct 31, 2016
1 Min Read
social media
Regulation & Compliance
SEC Requires New Social Media Disclosures on Form ADV 2016-10-18 (1)SEC Requires New Social Media Disclosures on Form ADV
byMike Pagani
Oct 18, 2016
1 Min Read
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Regulation & Compliance
SEC Requires New Social Media Disclosures on Form ADV 2016-10-18 (2)SEC Requires New Social Media Disclosures on Form ADV
byMike Pagani
Oct 18, 2016
1 Min Read
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Regulation & Compliance
Are Sales Goals Dead?Are Sales Goals Dead?
byJeff Spears
Oct 14, 2016
1 Min Read
LPL Financial
Regulation & Compliance
LPL Analysts: DOL Could Be Kink in Possible Deal
LPL Analysts: DOL Could Be Kink in Possible Deal
Oct 12, 2016
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1 Min Read
byDiana Britton, Managing Editor
US Department of Labor
Regulation & Compliance
T-Minus Six Months Until the DOL Rule
T-Minus Six Months Until the DOL Rule
Oct 12, 2016
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1 Min Read
byAnthony M. Stich
Department of Labor
Regulation & Compliance
Stay Ahead of the DOL Rule With Automated Onboarding
Stay Ahead of the DOL Rule With Automated Onboarding
Oct 5, 2016
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1 Min Read
byMike Gardner
banking finance money
Regulation & Compliance
Reduce to Comply: How Regulatory Requirements and Service Standards Will Affect Your Practice Size
Reduce to Comply: How Regulatory Requirements and Service Standards Will Affect Your Practice Size
Sep 27, 2016
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1 Min Read
byMatthew Reynolds
John Taft
Regulation & Compliance
Regulatory Pendulum Gets a Huge Push From Wells Fargo
Regulatory Pendulum Gets a Huge Push From Wells Fargo
Sep 26, 2016
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1 Min Read
byJohn Taft, CEO
cookies
Regulation & Compliance
Cerulli: Home Office to Usurp RPM as Preferred Advisor Model
Cerulli: Home Office to Usurp RPM as Preferred Advisor Model
Sep 12, 2016
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1 Min Read
byThomas Seubert
money stocks
Regulation & Compliance
More Important Than $1 Million
More Important Than $1 Million
Sep 9, 2016
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1 Min Read
byWealthManagement.com Staff
St Jude Medical
Regulation & Compliance
St. Jude Medical Files Lawsuit Against Muddy Waters
St. Jude Medical Files Lawsuit Against Muddy Waters
Sep 7, 2016
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1 Min Read
byMarthe Fourcade
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Regulation & Compliance
Proposed 2704 Regulations: “Commercially Reasonable Restriction Exclusion”
Proposed 2704 Regulations: “Commercially Reasonable Restriction Exclusion”
Aug 29, 2016
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1 Min Read
byMartin M. Shenkman
CRM Can Be Your Sword And Shield In A Fiduciary World
Regulation & Compliance
CRM Can Be Your Sword And Shield In A Fiduciary World
CRM Can Be Your Sword And Shield In A Fiduciary World
Aug 19, 2016
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1 Min Read
byMatthew Reynolds
Lehman Bros
Regulation & Compliance
Why White Collar Crime Is Here to Stay
Why White Collar Crime Is Here to Stay
Aug 2, 2016
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1 Min Read
byPaul Barrett
forex trading
Regulation & Compliance
State Street to Pay $530 Million to Resolve Forex Fraud Claims
State Street to Pay $530 Million to Resolve Forex Fraud Claims
Jul 27, 2016
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1 Min Read
Patriarch in Pump-and-Dump Scheme Pleads Guilty - Again
Regulation & Compliance
Patriarch in Pump-and-Dump Scheme Pleads Guilty - Again
Patriarch in Pump-and-Dump Scheme Pleads Guilty - Again
Jul 21, 2016
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1 Min Read
byChristian Berthelsen and Chris Dolmetsch
Wolf of Wall Street
Regulation & Compliance
‘Wolf of Wall Street’ Sued as U.S. Seeks 1MDB-Tied Assets
‘Wolf of Wall Street’ Sued as U.S. Seeks 1MDB-Tied Assets
Jul 20, 2016
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1 Min Read
byDavid McLaughlin and Tom Schoenberg
printing dollars
Regulation & Compliance
Another New Regulatory Burden Coming for RIAs
Another New Regulatory Burden Coming for RIAs
Jun 30, 2016
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1 Min Read
byDavid Armstrong, Executive Director, Content and User Engagement at WealthManagement.com
JPMorgan
Regulation & Compliance
JPMorgan Accused of Double Standard on Broker Poaching
JPMorgan Accused of Double Standard on Broker Poaching
Jun 30, 2016
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1 Min Read
byNeil Weinberg
FINRA to Review 'Best Interest' Disclosures
Regulation & Compliance
FINRA to Review 'Best Interest' Disclosures
FINRA to Review 'Best Interest' Disclosures
Jun 17, 2016
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1 Min Read
bySuzanne Barlyn and Ross Kerber | Reuters
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Regulation & Compliance
Obama Vetoes Resolution to Kill DOL Rule; New Lawsuit Filed
Obama Vetoes Resolution to Kill DOL Rule; New Lawsuit Filed
Jun 9, 2016
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1 Min Read
byDiana Britton, Managing Editor
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Regulation & Compliance
Little League Friends Divided Over Insider Trading Charges
Little League Friends Divided Over Insider Trading Charges
Jun 6, 2016
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1 Min Read
byBob Van Voris and Patricia Hurtado
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Regulation & Compliance
As Koch Brothers Cling to Madoff Cash, a New Legal Battle Arises
As Koch Brothers Cling to Madoff Cash, a New Legal Battle Arises
Jun 3, 2016
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1 Min Read
byErik Larson
Lawsuit Argues DOL Overstepped With Fiduciary Rule
Regulation & Compliance
Lawsuit Argues DOL Overstepped With Fiduciary Rule
Lawsuit Argues DOL Overstepped With Fiduciary Rule
Jun 2, 2016
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1 Min Read
byDiana Britton, Managing Editor
Hulk Hogan Gawker trial
Regulation & Compliance
Hulk Hogan, Peter Thiel, and the Future of ‘Revenge’ Lawsuits
Hulk Hogan, Peter Thiel, and the Future of ‘Revenge’ Lawsuits
May 26, 2016
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1 Min Read
byDavid Rovella
Breaking Down the Fiduciary Rule, Part Three: Why Are These Changes Being Made?
Regulation & Compliance
Breaking Down the Fiduciary Rule, Part Three: Why Are These Changes Being Made?
Breaking Down the Fiduciary Rule, Part Three: Why Are These Changes Being Made?
May 25, 2016
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1 Min Read
byRyan W. Smith
Breaking Down the Fiduciary Rule, Part One: Fiduciary Versus Suitability Standard
Regulation & Compliance
Breaking Down the Fiduciary Rule, Part One: Fiduciary Versus Suitability Standard
Breaking Down the Fiduciary Rule, Part One: Fiduciary Versus Suitability Standard
May 23, 2016
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1 Min Read
byRyan W. Smith
Phil Mickelson brought the Claret Jug to the floor of the New York Stock Exchange after winning the British Open in 2013
Regulation & Compliance
In Mickelson Approach, SEC Claims No Wrongdoing but Wants Cash
In Mickelson Approach, SEC Claims No Wrongdoing but Wants Cash
May 20, 2016
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1 Min Read
byMatt Robinson, Erik Larson and Patricia Hurtado
The DOL’s Gift to Financial Advisors
Regulation & Compliance
The DOL’s Gift to Financial Advisors
The DOL’s Gift to Financial Advisors
May 4, 2016
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1 Min Read
byMatt Oechsli, Columnist: The Inner Game
MetLife Faces Record FINRA Fine for Misleading Annuity Customers
Regulation & Compliance
MetLife Faces Record FINRA Fine for Misleading Annuity Customers
MetLife Faces Record FINRA Fine for Misleading Annuity Customers
May 3, 2016
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1 Min Read
byKatherine Chiglinsky
Smith: We Are All Zero Hedge, Not Just Wall Streeters
Regulation & Compliance
Smith: We Are All Zero Hedge, Not Just Wall Streeters
Smith: We Are All Zero Hedge, Not Just Wall Streeters
May 2, 2016
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1 Min Read
byNoah Smith
Ameriprise Weighs Adding Advisers as Regulation Squeezes Rivals
Regulation & Compliance
Ameriprise Weighs Adding Advisers as Regulation Squeezes Rivals
Ameriprise Weighs Adding Advisers as Regulation Squeezes Rivals
Apr 28, 2016
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1 Min Read
byKatherine Chiglinsky

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