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May 20, 2019

Why SEC’s New Reg BI Could Bring More Legal Challenges from Clients
One broker-dealer CEO says investment performance will likely be the measure of best interest.
Broker-Dealer Cannabis Activity Comes Under Scrutiny
Finra is reviewing whether firms are complying with their suspicious activity detection and response responsibilities.
New Jersey Securities Watchdog Fines Former FA $750K Over Alleged Unsuitable Trades
Gabriel Block says he was never notified of the action against him and will appeal the fine.
Special Report: Why Investing in Asia is No Longer Optional
Investing in Asia is no longer a leap in the dark for U.S. investors; it’s a matter of catching up with economic reality.
Finra to Give B-D Firms Extension to Settle 529 Plan Violations Under Self-Reporting Initiative
The regulator understands that firms may need more time to collect data.
All Channels Except Wirehouses Added FAs in 2018
Meanwhile, client assets overall dropped 2.1% last year, the biggest drop in more than a decade, according to Aite Group.
Despite High Satisfaction Rates Among HNW Investors, FAs Need to Set Themselves Apart
Tuning in to what affluent investors most value about their advisors can ensure advisors keep their clients engaged, according to a recent study.

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