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10 Suggestions for Responsible Investing

By Santiago Rodriguez Pace Law School, in association with FINRA, has updated its “Investors Guide to Securities Industry Disputes” in which they share tips and resources for preventing and resolving disputes with your broker. This guide is a helpful tool for investors who feel they may have a valid claim but are unaware of their rights and potential risks. [&hellip

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FINRA Modernizes Examinations for New Brokers

By Dimitrije Canic The Securities and Exchange Commission (SEC) recently approved changes to existing FINRA rules regarding new broker examination requirements. FINRA issued Regulatory Notice 17-30, which describes the changes to the current rules. The changes are due to take effect on October 1, 2018. Under the modified rules, all new brokers will be required [&hellip

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Does FINRA Disclose Enough on High-Risk Firms?

By Brandon Greenberg As of January 2017, FINRA had expelled about 130 firms due to misconduct including securities fraud, churning, unsuitable recommendations, records falsification, and misuse of funds. In most cases, however, the executives and brokers at these banned firms remain free to continue working at other firms. Shouldn’t investors know which brokerage firms employ the [&hellip

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FINRA Cracks Down on Unpaid Awards

By Daniel Guernsey On July 18, 2017, the FINRA Board of Governors authorized FINRA to publish a Regulatory Notice soliciting comment on proposed amendments to FINRA’s Membership Application Program rules relating to member’s hiring brokers with a history of misconduct and members’ unpaid arbitration awards. The first issue the board discussed was related to broker [&hellip

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Beware of Private Oil & Gas Investment Schemes

By Gilberto Delgado, Jr. Many people are tempted by an opportunity to “strike it rich” or are willing to invest in something likely or even guaranteed to give returns that will be “too good to pass up.” These “once in a lifetime opportunities” are often associated with oil and gas investments that end up being [&hellip

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Investors Must Be Wary of Bitcoin Schemes

By Zachary Sonenblum The Securities and Exchange Commission (SEC) has taken action against an alleged multi-million dollar fraud scheme involving both Bitcoin- and office space-related investments. On June 30, 2017, the SEC filed charges against Renwick Haddow, the founder of a Bitcoin platform and chain of shared office spaces located in restaurants and bars, alleging [&hellip

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Could Your Next Financial Advisor be a Robot?

By Brandon Simon Robots are taking over! Ok, robots may not actually be taking over just yet. However, in a world where jobs are increasingly being taken by our automated companions, your financial intermediary may be next. In my Facebook Investing Club a poster appeared which insinuated that robo-advisers are the way of the future [&hellip

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Securities and Exchange Commission Could Establish Uniform Fiduciary Standards of Conduct Applicable to Investment Advisors and Broker-Dealers

By Elaine Wood The Obama Labor Department aimed to protect investors—particularly those with retirement accounts—from nefarious brokers motivated by high commissions and a misguided confidence in the fact that standards of conduct applicable to “investment advisers” in the securities industry did not apply to “brokers.” Enter a new twist on the Employee Retirement Income Security [&hellip

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Should Investors Consider Emerging Markets?

By Pablo Pazos Like any other investment opportunity, there are great benefits and potential risks to investing in emerging markets. It is important to understand what emerging markets are and the associated benefits and risks that an investor must consider. Emerging market economies are often referred as those countries whose economies are experiencing rapid growth [&hellip

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Best Thing Since Facebook? Investor’s Anticipation of Snapchat

By Sean Fard What started in a Stanford dorm room in 2011 has grown from a trendy redoubt for millennials into a top destination for both general users and advertisers. Snapchat (“Snap”) started as a way for friends to send self-destructing photo messages, but has since added more ambitious tools, from letting users compile “stories” [&hellip

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