Could Thousands of Investment Advisers Be Forced Back to State Registration?
The Securities and Exchange Commission's recent review of the investment adviser registration threshold could have significant consequences for thousands of…
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When FINRA Comes Calling: Who Pays for the Lawyer?
Regulatory inquiries from FINRA, the SEC, the DFPI, or the California Department of Insurance often raise an uncomfortable question for…
Read MoreInvestment Fraud and Social Media: When “Finfluencers” Cross the Line
Social media has become a major source of investment information. Investors now encounter stock tips, options strategies, crypto promotions, private…
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