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The commission’s proposals could cause fundamental shifts in standard practice and market structure, if turned into final rules.
The Commission publishes its regulatory agenda
Firm has paid regulators $184.5 million since 2020
Online broker's woes continue
A peer shares the firm's rollover form created to comply with the Labor Department's new rollover exemption
Your peers who got the jump on the new SEC IA ad rule, changes proposed to private fund adviser exemption, ID theft failures and more
An RCW analysis of more than 120 advisers that have already answered these questions found every one of them indicated they will use testimonials
One of the proposed changes would have advisers notify the DOL that they’re using the exemption, and perhaps mandating the reporting of their CRD number
The SEC simultaneously announced three enforcement actions against firms for violating the identity theft red flags rule
The key avenue that a cyber bad guy could use to infiltrate your system via an MSP comes through its remote monitoring and management (RMM) ...

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