- A Double Dose of Robo-Adviser Guidance
- SEC & NYU Host Crowdfunding Dialogue Feb. 28th
- MSRB Plans to Update Municipal Dealer and Advisor Advertising Reqs
- SEC Approves Certain BD Retail Mark-Up/Mark-Down Disclosures
- FINRA Wants Feedback on Rule Exception for Projected Perfomance
- FINRA Podcasts in January
- SEC Reveals Top 5 Compliance Issues in Adviser Exams
- SEC Annual Report Filing ~ Simplified for Broker-Dealers
- Municipal Advisors to Follow Revised Customer Complaint Rules
- Investor Brush-up on Money Market Funds
- SEC Updates FAQs on Form PF for RIAs
- SEC Leadership Turnover
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