Financial Advisor Blog - Page 89

NASAA Approves New Model Rules to Facilitate Advisors' Return to Industry

September 26th, 2022
The North American Securities Administrators Association (NASAA) has approved two model rules allowing advisors to maintain their licenses when the...

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Unexpected Places Advisors Can Meet Prospective Clientele

September 23rd, 2022
Building a network of wealthy individuals is no easy task. Successful advisors know that the key is investing the time it takes to develop social r...

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Morgan Stanley Hit With $35 Million Fine Over Data Security

September 22nd, 2022
The Securities and Exchange Commission (SEC) has ordered Morgan Stanley to pay a $35 million fine to settle data security allegations.

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Lessons From Queen Elizabeth

September 21st, 2022
There are many lessons advisors can learn from Queen Elizabeth's habits and traits and incorporate into their daily practices.

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Goldman Sach's Consumer Banking Unit Facing Fed Scrutiny

September 20th, 2022
Fed officials have looked into Goldman Sach's Consumer Banking unit "Marcus" for the last several weeks.

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Industry Prepares for NASAA's Proposed Policy Regulations

September 19th, 2022
The North American Securities Administrators Association (NASAA) has ended its comment period on its proposed policy statement regarding Real Est...

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FINRA Offers Brokerages Opportunity to Avoid Restricted Designation

September 16th, 2022
Firms may be able to avoid the possibility of receiving a "Restricted" designation with The Financial Industry Regulatory Authority's (FINRA) one-t...

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Bank of America Expands Wealth Management Group To Attract Wealthier Cli...

September 15th, 2022
Bank of America has created a new wealth management banking and lending unit to expand its offering to affluent clients.

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$2 Million Team Leaves Morgan Stanley to Join Rockefeller

September 15th, 2022
As wirehouses nudge advisors to join teams, some advisors are moving to new firms to find their perfect match.

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Labor Department Orders Wells Fargo to Pay Over $145 Million

September 13th, 2022
Wells Fargo and GreatBanc Trust Company, a plan trustee, will recover more than $131.8 million for retirement plan participants after an investiga...

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