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FINRA is overhauling its registration and disclosure programs, advisors aren’t worried about market volatility and how to talk to clients about betting on the World Cup.
"Cursed" is how one commentator described the early drafts of the commission's proposed disclosure forms, a key component of the new best interest standard for brokers
The DOL didn’t exercise the last legal recourse it had to defend the controversial rule, effectively ending the short life of the Obama-era regulation.