ET TU, MASSACHUSETTS?  SECRETARY GALVIN ANNOUNCES INTENTION TO CRAFT FIDUCIARY RULE
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ET TU, MASSACHUSETTS?  SECRETARY GALVIN ANNOUNCES INTENTION TO CRAFT FIDUCIARY RULE. Following the leads of Connecticut, Maryland, Nevada, and New Jersey, Massachusetts announced its intention to move ahead with its own fiduciary rule.

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***Breaking: SEC Approves Reg Best Interest and Related Proposals
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The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.

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SEC to Vote on Reg Best Interest June 5
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The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.

As our readers and followers know,

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Just in Time for Halloween, DOL Fiduciary Rule May Return from the Dead
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Just when we thought the Department of Labor’s (“DOL”) Fiduciary Standard Rule was officially dead, comes word that the Department may be taking another run at a Rule.

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Explained Award: Anderson v. Allegis Investment Advisors, LLC
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EXPLAINED AWARD: ANDERSON v. ALLEGIS INVESTMENT ADVISORS, LLC, AAA ID #01-16-0005-0320 (Salt Lake City, UT, 1/8/18).

This 21-page AAA Explained Award,

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RIAs in FINRA Arbitration: Where Do Things Stand?
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Arguably, one reason arbitration claims are down at FINRA — and have basically declined for the past five years — may be that the disputes are being filed elsewhere.

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