Regional & Wirehouse Brokers

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Massachusetts One-Page Fee Disclosure Mandate Moves Closer To Reality

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The Institute For The Fiduciary Standard supports the disclosure proposal as “good first step.”

Murphy Defends His Goldman-Era Support For New Jersey Tax Break

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Fellow Democrats criticized his support for tax incentives backing Goldman's move to Jersey City.

States Tell SEC To Stay Out Of Their Fiduciary Rulemaking

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State regulators are pushing back against the security industry's efforts to invalidate state broker rules.

As Goldman Chases Smaller Clients, Some Doubts And Early Wins

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Goldman bankers began fanning out across the U.S. two years ago to pitch companies once deemed too small.

HighTower Investment Creates $5 Billion Wealth Manager In California

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The deal involves a strategic investment by HighTower, among the nation's largest RIA consolidators.

CFA Meets With SEC’s Clayton To Make Case For ‘Clean Shares’

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Currently, the SEC's Regulation Best Interest contains no mandate for the use of clean shares.

Trump Sues To Stop Deutsche Bank From Disclosing Accounts

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Trump has sued two banks seeking to stop them from complying with subpoenas from congressional Democrats.

Raymond James Beats Earnings Estimates, Despite Muted Asset Values

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The St. Petersburg, Fla.-based firm's revenues were in line with expectations.

Wells Fargo's Interim CEO Faces Hecklers' Shouts Of 'Frauds'

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Shareholders and their representatives also pressed the bank over its sales practices.

Should The SEC Require Advisors To Make Actual Fee Disclosures, As The EU Does?

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Fiduciary advocates argue investors expect and deserve all-in fee and expense disclosure.

Consumer Group Calls For Clean Shares To End 'Toxic' Broker Conflicts

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The Consumer Federation Of America is asking the SEC to strip sales costs from investment products.

Securities Industry Lobbyists Geared To Fight N.J. Broker Fiduciary Rule

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The state’s firebrand Bureau of Securities says it owes New Jersey investors a higher standard.

House Democrats Subpoena Deutsche Bank, Others Amid Trump Probe

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Democrats continue to hunt for evidence linking the president to allegations of wrongdoing.

New Jersey Moves To Impose Fiduciary Rule On Brokers

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Brokers and other advisors would be required to act as fiduciaries under a rule that may be enforced as early as July.

Dimon Defends JPMorgan Minimum Wage, Points To Low Pay Elsewhere

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The JPMorgan CEO said the banking industry likely pays more than the U.S. government.

Wall Street Plan For Angry Lawmakers: Let Jamie Dimon Take Over

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Are calls for CEOs to testify before Congress grandstanding by representatives eager to "beat up" on banks?

Banks’ Last Hurrah From Fed Likely Means 2019 Has Already Peaked

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With the Fed signalling patience, the outlook for the banking sector has dimmed for the remainder of the year.

BofA Plans To Raise Minimum Wage To $20 An Hour Over Two Years

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The bank's minimum wage will step up to $17 on May 1, then to $20 by 2021.

Wells Fargo Agrees To Sell Retirement Unit For $1.2 Billion

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Principal Financial Group will take control of Wells Fargo's retirement plan services unit.

Dimon Sees Recent Volatility As Harbinger Of Things To Come

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JPMorgan's Jamie Dimon warned investors to get ready for more wild rides like last year's.

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