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  • March 23, 2018
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    Out With The Old, In With The New

    January 4, 2018

    Happy Holidays to everyone.

    There are a few things that have piqued my interest these last few weeks: (1) the SEC has five Commissioners for the first time in over two years; (2) FINRA has released a consolidated report of findings on recent exams (maybe the first time ever); (3) the interesting case involving Forum Financial Management; and, (4) another interesting case involving a state-registered adviser, Broidy Wealth Advisors.

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