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BNY Mellon's new fintech division is developing a multicustodial, cross-functional suite of digital tools intended to give advisors more time to spend with clients.
According to the commission, Western International Securities and several of its reps ran afoul of the rule by recommending and selling $13.3 million in high-risk L Bonds.
The Entrepreneurial Capital program provides more flexibility for the advisor and includes traditional, bridge and jumbo loans, as well as an equity financing option.