federal law

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  NASAA’s Advocacy Agenda: Advisor Regulation, Fiduciary Duty, Arbitration

  By Heath Abshure, NASAA President  |  March 19, 2013

  Our agenda calls for Congress to ensure all investors are protected when receiving individualized investment advice. This revolves around two key issues.

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  IRAs: In General

  By Tax Facts Online  |  March 4, 2013

  Individual Retirement Accounts are highly popular tools for contributing funds that grow on a tax deferred basis. Depending on the type of IRA, the accumulation can be tax free.

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  Morgan Stanley Initiative To Focus on Financial Planning for LGBT Clientele

  By Michael S. Fischer  |  December 26, 2012

  Morgan Stanley launches program to provide wealth planning, business development and marketing resources for LGBT clients.

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  Dodd-Frank: Here to Stay

  By Melanie Waddell, AdvisorOne  |  August 21, 2012

  If Republicans “run the table in this year’s elections, it is certainly possible that some of the more controversial provisions of the Dodd-Frank Act may be revisited,” said David Tittsworth, executive director of the Investment Adviser Association (IAA) in Washington.

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  How Long Can Advisors Avoid Public Disclosure of Their Conflicts of Interest?

  By Bob Clark, AdvisorOne  |  May 30, 2012

  A ProPublica investigation has revealed the scope of payments to doctors by pharmaceutical companies. Will advisors be next in line for public scrutiny of their finances?

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  Morgan Keegan Fined for Pension Investment Kickbacks

  By Melanie Waddell, AdvisorOne  |  April 16, 2012

  The EBSA announced Monday that it had fined Morgan Keegan $634,000 for violating its fiduciary obligations to 10 pension plans.

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  Reconsidering Reverse Mortgages

  By Joyce Hanson, AdvisorOne  |  March 26, 2012

  Times were tough for Dorothy Ariail back in 1977 when she became a young widow with three children.

• Six Tips for Easy Email Marketing

  By Peter Montoya  |  February 1, 2012

  The United States Postal Service is experiencing a massive drop in revenues.

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  FINRA Backs Off on Social Media Reporting for BDs

  By Marlene Y. Satter, AdvisorOne  |  January 5, 2012

  FINRA has at least partially bowed to comments from member firms and decided not to require social media postings to be regarded as subject to a post-use filing requirement.