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  • Ex-Broker Pleads Guilty to Bilking More Than 100 Investors
  • Here’s How FINRA Spent Its 2021 Fine Money
  • What Medicare Parts A and B Leave Out: A Medicare Customer Question
  • 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
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M1 Finance Adds Feature to Link Client Accounts

December 1, 2020December 14, 2020 European Compliance Association Client News & Advice, Equities, Investing Theory & Strategy, Portfolio Construction

M1 Finance Adds Feature to Link Client Accounts Smart Transfers allows for pre-set movement between checking, investing and borrowing programs.

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Nasdaq Joins Goldman in Push for More Diverse Boards

December 1, 2020December 2, 2020 European Compliance Association Economy & Markets, Equities

Nasdaq Joins Goldman in Push for More Diverse Boards “This listing rule is one step in a broader journey to

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Group Calls for Limiting Power of BlackRock, Vanguard & State Street

November 30, 2020December 14, 2020 European Compliance Association Economy & Markets, Equities, Funds, Legal & Compliance

Group Calls for Limiting Power of BlackRock, Vanguard & State Street “Outsized footprint” of Big Three “poses new issues” for

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BlackRock Rolls Out More ETFs Without iShares Brand

October 2, 2020December 2, 2020 European Compliance Association Economy & Markets, Equities, Fixed Income

BlackRock Rolls Out More ETFs Without iShares Brand Three of the new Megatrend ETFs are actively managed and carry the

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SEC Votes to Restrict Shareholder Proposals

September 23, 2020December 2, 2020 European Compliance Association Economy & Markets, Equities, Legal & Compliance

SEC Votes to Restrict Shareholder Proposals SEC headquarters in Washington. (Photo: Diego Radzinschi/ALM) The SEC has voted to raise the

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Latest Stories

  • Ex-Broker Pleads Guilty to Bilking More Than 100 Investors July 1, 2022
  • Here’s How FINRA Spent Its 2021 Fine Money June 30, 2022
  • What Medicare Parts A and B Leave Out: A Medicare Customer Question June 29, 2022
  • 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

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