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Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.
June 24 -
Industry regulator levies its largest penalty involving variable annuities after claiming a long-running effort misrepresented annuity features and steered clients into costlier products.
May 5 -
Acknowledging the explosive growth of robo-advisers, FINRA this week released guidance on digital investment advice for companies considering using such means.
March 17 -
A new FINRA report warns firms they should be ready for reviews on their use of digital investment advice tools.
March 16