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NEWS REGULATION AND LEGISLATION NOV 12, 2012
State regulators blast SEC over Reg D ad proposal

Rule would open door to general solicitation for private securities

Goldstein gives SEC an 'F' for Reg D stall
INVESTING ALTERNATIVES NOV 12, 2012
Goldstein gives SEC an 'F' for Reg D stall

In a comment letter, Phillip Goldstein lampoons the SEC for its delay in allowing hedge funds to advertise private placements.

YOUR PRACTICE PRACTICE MANAGEMENT NOV 11, 2012
American College CEO jumps on Goldfarb news, irking advisers

Get your X's and Y's down now, advisers told
NEWS RIAS NOV 09, 2012
Get your X's and Y's down now, advisers told

TD's Nally: Don't delay in courting NextGen clients

Kind of blue: Downbeat advisers telling clients to stash cash
INVESTING EQUITIES NOV 08, 2012
Kind of blue: Downbeat advisers telling clients to stash cash

Only a third remain bullish on U.S. economy, Schwab survey finds; real estate, gold trumpeted

NEWS BROKER DEALERS NOV 07, 2012
Advocate for small broker-dealers sells her small broker-dealer

Lisa Roth's Keystone Capital cops an offer from Fortune Financial principals

TD snags former Pershing executive
NEWS RIAS NOV 05, 2012
TD snags former Pershing executive

Dario to head up strategy and market development; Valverde steps up at PAS

Graceland: Regulators offer extensions in wake of Sandy
NEWS REGULATION AND LEGISLATION NOV 01, 2012
Graceland: Regulators offer extensions in wake of Sandy

Finra and SEC to provide grace period on certain filings for firms located in areas hit by massive storm

NEWS REGULATION AND LEGISLATION OCT 30, 2012
Fiduciary standard center stage at TD confab

NEWS RIAS OCT 30, 2012
TD snags former Pershing executive Jim Dario