Updated Saturday, December 20, 2014 as of 1:43 PM ET

Kenneth Corbin is a Financial Planning contributing writer in Washington.

Recent Stories From This Author

Clients Lost Millions in Hedge Fund Managed by Debt Collector, SEC Charges

FPC Renews Calls for User Fees to Fund SEC Exams

Battle Lines Drawn in FINRA's CARDS Proposal

What GOP Rout Means for Advisors

Protect Clients From ID Theft -- Or Else

Advisors: What's Your Data Breach Response Plan?

SEC Names New Official in Advisor Inspection Unit

Advisors: How to Approach a Cybersecurity Policy

SEC Files Record Number of Enforcement Actions

SEC Examiners Zeroing in on Cybersecurity

RIA Deals: How to Keep Clients Happy

How Should Advisors Approach Corporate Inversions?

Would Access to Fed Liquidity By Broker Dealers Avert Crisis?

FINRA Advances CARDS Proposal, But With an Ear to Industry

FSI Rolls Out Insurance for Member Firms, Advisors

FSI Warns on DoL Fiduciary, FINRA CARDS Rules

Advisor Input Sought in Looming Succession Plan Rules

SEC Again Targets Ex-LPL Advisor in $2M Fraud Case

Advocates Losing Ground in Fiduciary, User Fee Battle

Ex-SEC Official Questions Uniform Fiduciary Debate

The December Issue is now online!


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