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By Melanie Waddell, AdvisorOne |
November 29, 2012
December Board meeting will consider several rule proposals and amendments, chief among them a proposal that would require broker-dealers to disclose compensation packages to customers.
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By Melanie Waddell, AdvisorOne |
September 13, 2012
The House hearing on Thursday addressed crowdfunding and concerns on how to verify "accredited investors" for the purpose of advertising private offerings.
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By Melanie Waddell, AdvisorOne |
August 24, 2012
NASAA’s annual list of financial products and practices that threaten to trap unwary investors has been broken into two parts this year: new threats and persistent (or old) threats.