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In recent years, the US Securities and Exchange Commission (SEC) has initiated several probes into how advisory firms manage their cash...
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On July 3, the Financial Crimes Enforcement Network (FinCEN) published a proposed rule (the Proposal) to strengthen and modernize...
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The Financial Industry Regulatory Authority filed a proposed rule change with the Securities and Exchange Commission on November 13,...
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A recent DC Circuit Court of Appeals challenge to a FINRA enforcement action brings into question whether FINRA should be held...