SEC isn’t dropping the hammer yet in Reg BI exams

An SEC official indicated reviews are still meant more to help firms comply with Reg BI than to punish them for violations of the rule. But it’s a good idea to document recommendations.
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Use this philanthropic giving tool for impact investing

Donor advised funds can be used to support increasingly popular impact investing.
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Finra censures, fines Securities America $125,000

Regulator says the firm caused recruits to take nonpublic personal client information.
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Last Orders: The ASX rebounds after yesterday’s 1pc+ drop

After falling by more than 1 per cent yesterday the ASX rebounded today. The ASX Emerging Companies Index rose by … Read More
The post Last Orders: The ASX rebounds after yesterday’s 1pc+ drop appeared first on Stockhead. …

Three Advantages of a Custom Passive SMA for the Taxable Investor

A custom passive separately managed account (SMA) may hold distinct tax advantages for investors. Explore the benefits of transitioning from traditional ETFs to custom SMAs.
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