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  • Citi Ordered to Pay Ex-Broker $1.4M in Gender Discrimination Case
  • Next 2 Court Dates Set for Suspect in BofA Exec Michelle Avan’s Killing
  • FINRA Says National Securities Corp. Must Pay $9M
  • New York State Life Beneficiaries File COVID-19 Grace Period Suit
  • Senate Retirement Bill Could Include LTCI Premium Provision
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News 

Focus Financial Adds $682M Kansas RIA

December 1, 2020December 14, 2020 European Compliance Association Career News & Advice, Wealth Manager News & Advice

Focus Financial Adds $682M Kansas RIA Kavar Capital Partners is the seventh partner firm to join Focus year to date,

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News 

NASAA Adopts Rule on CE Credits for Investment Advisors

November 30, 2020December 14, 2020 European Compliance Association Career News & Advice, Legal & Compliance, Wealth Manager News & Advice

The group’s model rule requires IARs to take 12 hours of continuing education each year. (Image: Shutterstock) The North American

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News 

New Advisor Designation Drawing Criticism

November 30, 2020December 2, 2020 European Compliance Association Career News & Advice, Independent Broker-Dealers, Legal & Compliance, NextGen Advisor, Wealth Manager News & Advice

New Advisor Designation Drawing Criticism Michael Kitces questions whether clients would really seek out advisors with an Accredited Behavior Financial

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Best Practice 

Top 14 Mistakes Made by Financial Advisors

November 30, 2020December 2, 2020 European Compliance Association Career News & Advice, Wealth Manager News & Advice

Top 14 Mistakes Made by Financial Advisors 1. Not doing much prospecting. No one ever comes out and says that.

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Analysis 

As Schwab Gobbles Up TD Ameritrade, What Should Advisors Do?

October 2, 2020December 14, 2020 European Compliance Association Career News & Advice, NextGen Advisor

As Schwab Gobbles Up TD Ameritrade, What Should Advisors Do? (Photos: Shutterstock) Charles Schwab’s $26 billion purchase of rival TD

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Latest Stories

  • Citi Ordered to Pay Ex-Broker $1.4M in Gender Discrimination Case June 28, 2022
  • Next 2 Court Dates Set for Suspect in BofA Exec Michelle Avan’s Killing June 27, 2022
  • FINRA Says National Securities Corp. Must Pay $9M June 23, 2022
  • New York State Life Beneficiaries File COVID-19 Grace Period Suit June 22, 2022
  • Senate Retirement Bill Could Include LTCI Premium Provision June 21, 2022
  • Second Senate Secure Act 2.0 Bill to Be Discussed Next Week June 18, 2022
  • New Bill Would Allow Rollovers From 529 Plans to Roth IRAs June 17, 2022
  • SEC Seeks Comment on ‘Information Providers’ Acting as Advisors June 16, 2022
  • Rep. Neal Asks Government Watchdog to Study Hazards of Crypto in 401(k)s June 15, 2022
  • Senate Panel Advances Retirement Bill as Part of Secure Act 2.0 Plan June 14, 2022

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