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March 19, 2010
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Deeper spending cuts and new taxes are being proposed by Democrats to help foot the bill for health care.
March 19, 2010
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The Financial Industry Regulatory Authority on Thursday said it expelled
a broker-dealer for selling private placements linked to a Ponzi
scheme.
March 18, 2010
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A parade of big-name mutual fund companies have filed paperwork to launch actively managed ETFs, but it could take years before any of them attract significant interest from investors.
March 18, 2010
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The securities industry should begin to prepare
for a fiduciary standard even if lawmakers have put off any such move in the
short term, the CEO of FINRA
said this week.
More FA News
| • | | Windward Investment Management takes an all-weather approach to global investing.
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| • | | Loomis Sayles’ Dan Fuss sees a soft recovery in which quality businesses gain at the expense of the rest.
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| • | | Could social network investing threaten your advisory business?
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| • | | Advisors today have many choices when it comes to document management software.
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| • | | Here are some time-tested rules for finding clients who will have the best possible experience with you.
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| • | | REITs and emerging market investments were among the few that came out ahead.
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Discussion
Should all advisors fall under one self-regulatory organization and could that happen on Mary Schapiro’s watch?
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