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State treasurers to SEC: Keep investors' right to sue
Officials want to keep the right to sue on behalf of the public when securities laws are violated.
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Morgan Stanley cleared in SEC 'cash sweeps' probe, but still faces state investigation
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While Wells Fargo and Merrill Lynch paid $60 million for a "cash sweep" violation earlier this year, Morgan Stanley was cleared by the SEC for “sweeping” customers’ uninvested cash from a brokerage account into an interest-bearing account.
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Guide
Sponsored by isolved
Broker's Guide to Mastering Client Open Enrollment & Boosting Employee Experiences
Your HR clients often face common open enrollment pitfalls, such as administrative burdens and inadequate employee communication--leading to negative employee experiences. Learn how you can help your clients address these gaps. This guide offers brokers actionable insights to advise on streamlined processes and effective communication plans that will foster employee (and client!) satisfaction.
Report
Sponsored by New Benefits
Employer Trends Across the Benefits Landscape: An HR Pulse Survey
Rising costs & low engagement challenge employers. This HR Pulse Survey reveals key trends from HR leaders across various industries and looks at the opportunities for brokers to elevate service, address pain points, and demonstrate ROI, especially with non-insured benefits.
Guide
Sponsored by New Benefits
Identifying Benefits Blind Spots: 3 Steps to Building a Well-Rounded Benefits Playbook
Clients expect strategic advice, not just sales. This guide reveals 3 steps to audit benefits, fill gaps, and present holistic strategies that meet client goals and employee needs--positioning employee benefits brokers as trusted advisors.