Tracey Longo

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Brokerage, Annuities Industries Make Last-Ditch Effort To Delay DOL Fiduciary Rule

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The groups, arguing the proposal has been rushed, asked government officials to get more public input.

IAA Wants Low-Risk Advisors Excluded From Money Laundering Proposal

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The Treasury Department has proposed a rule requiring all SEC advisors to have anti-money-laundering programs.

5 RIAs Fined $200K For Violating Marketing Rules, SEC Says

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The SEC has now penalized 14 registered investment advisors in its crackdown on marketing infractions.

Shadow Hangs Over Morgan Stanley In Latest Government Probe

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A new investigation of the bank's money laundering controls is "another black eye for Morgan Stanley," one attorney says.

Final DOL Rule Draws Near As OMB Completes Review

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Observers say the Biden administration is moving swiftly to prevent Republicans from overturning the rule in a new Congress.

Finra Arbitrators May Be Mishandling Broker Defamation Claims, SIFMA Says

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The securities industry group wants Finra to reform how it handles broker termination disputes.

Why Advisory Firms Fail Women Advisors

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This is how the industry can evolve and let females move up the ladder, says the Carson Group.

Biden To Unveil New Student Debt Forgiveness Plan

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The plan would provide relief to as many as 30 million borrowers, the White House says.

How Bitcoin ETFs Boost Risk-Adjusted Returns

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Even small allocations to a bitcoin portfolio can improve returns, say these asset management firms.

The Risk Of Taking Social Security Early

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People are afraid the program will run out of funds, but they risk a 50% cut in benefits if they take money out early, says this expert.

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