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Latest:
  • AI Chatbots Don’t Understand Annuities
  • JPMorgan Building ChatGPT-Like Investment Tool
  • House to Vote on Accredited Investor Definition Bill This Week
  • Vanguard Fined $800K Over Statement Errors
  • Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming Clients
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News

News 

Former Fidelity Exec Mike Durbin to Lead Cetera Holdings

May 18, 2023May 22, 2023 European Compliance

      Cetera Financial Group’s holding company has appointed Mike Durbin, who most recently was head of Fidelity Institutional, to the

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News 

FINRA Plans More Remote Work Rules

May 17, 2023May 18, 2023 European Compliance

      The Financial Industry Regulatory Authority is planning more remote work rules as well as an update to its outside

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News 

DOL Drops Rollover Appeal

May 16, 2023May 18, 2023 European Compliance

          The Department of Labor on Monday dismissed its appeal of a ruling in favor of the American Securities Association against

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News 

FINRA Expels Firm Over Reg BI Violations

May 15, 2023May 18, 2023 European Compliance

      The Financial Industry Regulatory Authority has expelled broker-dealer SW Financial for “multiple violations” related to Regulation Best Interest. FINRA found that

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News 

Don’t Panic! Social Security Isn’t Going Away Anytime Soon

May 13, 2023May 15, 2023 European Compliance

       What You Need to Know While the program faces problems, fearful speculation can trigger undue panic and poor decisions.

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News 

Investors Believe AI Will Help Advisors Better Serve Clients: Study

May 12, 2023May 15, 2023 European Compliance

      Seventy-two percent of investors in a new survey from Morgan Stanley Wealth Management believe that artificial intelligence is a turning

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News 

Life Policy Buyer Sues Over Age Conflict

May 11, 2023May 15, 2023 European Compliance

    A financial services firm is suing an insurer over a conflict between the age of a woman stated on

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News 

SEC Custody Rule Plan Would Hurt Annuity Access: IRI

May 10, 2023May 11, 2023 European Compliance

     The Securities and Exchange Commission’s new custody rule plan would “inadvertently impair” RIA clients from obtaining lifetime income products

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News 

F&G Explains Registered Index-Linked Annuity Launch Strategy

May 9, 2023May 11, 2023 European Compliance

     What You Need to Know Non-variable indexed annuity sales were up. MYGA sales were up. A RILA product is

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News 

7 No-Nos When Switching Firms

May 8, 2023May 11, 2023 European Compliance

    What You Need to Know Most advisors in your branch are competitors, not friends, and should not be

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Latest Stories

  • AI Chatbots Don’t Understand Annuities June 1, 2023
  • JPMorgan Building ChatGPT-Like Investment Tool May 31, 2023
  • House to Vote on Accredited Investor Definition Bill This Week May 30, 2023
  • Vanguard Fined $800K Over Statement Errors May 27, 2023
  • Ex-Edward Jones Rep Sentenced to 2 Years in Prison for Scamming Clients May 26, 2023
  • Bill to Fix Big Secure 2.0 Drafting Errors Is Coming May 25, 2023
  • Couple Bilked in $29M Ponzi Scheme Sues Advisory Firm May 24, 2023
  • Wells Fargo Rep Made His Friend a Client’s Beneficiary: FINRA May 23, 2023
  • More Sweeps, Reg BI Cases on the Way May 20, 2023
  • First Command Sues LPL Over Alleged Advisor Poaching May 19, 2023

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