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LPL Financial Places Independent Reps Under Supervision 21 Aug 2013 | 06:26 am
LPL Financial Inc. (LPLA) is no longer allowing independent representatives to supervise themselves and will impose a fee increase on some 2,200 one-person shops. These changes are among the firm’s st...
AIG Shuts Down Customers’ Bank Accounts in the Wake of Dodd-Frank Limits 20 Aug 2013 | 06:11 am
American International Group (AIG) will give its banking unit back their money and close out their accounts. The move is because the Dodd-Frank Wall Street Reform and Consumer Protection Act has impos...
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How Will Elimination of the SEC General Solicitation Ban Affect Hedge Funds? hedgefundblog.jobsearchdigest.com 22 Jul 2013 | 07:44 pm
On July 10th, the U.S. Securities and Exchange Commission (SEC) voted to lift the ban on solicitation for hedge funds and other accredited investor financial services. To some industry and advising pr...
