Posts from August 2018.

While at times the rigorous regulations imposed upon firms can seem burdensome, they exist for a reason - to help prevent violations of federal securities law. Bad actors, who are a staple of the modern era, are emboldened by the...

While exchange-traded funds (ETFs), a hybrid investment product, have been a staple of modern investing since the early 90s, the Securities and Exchange Commission (SEC) has been slow to create a proper regulatory framework for this $3.4 trillion market....

A recent Wells Fargo Memo raised questions for some of the firm's brokers about the firm's commitment to the Protocol for Broker Recruiting ("Broker Protocol"). The Broker Protocol found itself in the news again earlier this year when major...

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