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Wednesday, October 28, 2026 · Today’s edition, 6:30 a.m. ETWed, Oct 28 · 6:30 a.m. editionSign inMy Desk 0EditionsSign in
Private Wealth Daily
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NASAA

In network coverage since August 18, 2026 · 14 stories
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The Advisor's Note

SEC clears Finra rule letting broker-dealers market projected returns

Finra's Rule 2210 ban becomes conditional, but approval conditions and the effective date are not specified.
Tax & estate planning · Oct 5SEC, FINRA, CFTC, NASAA, NFA and SIPC issue a joint investor bulletin
Practice management · Sep 30NASAA issues investor advisory on finfluencer pay, red flags and registration
Practice management · Sep 23NASAA's fee waiver settles the cheapest line in the budget
Practice management · Sep 21The compliance manual is the next deal term
Practice management · Sep 17NASAA holds its $15 rep fee flat; the ledger is the cost
Practice management · Sep 8NASAA's IAR CE rule: obligation follows the rep
Practice management · Aug 31State-registered advisers now number 16,897, and oversight follows the rep
Recruiting & transitions · Aug 31NASAA cuts third-fail retest wait to 60 days
Recruiting & transitions · Aug 31A $35 option on returning to advice
Tax & estate planning · Aug 31NASAA puts trusted contacts at the center of senior fraud prevention
Practice management · Aug 31Custody is an access problem, NASAA reminds state RIAs
Practice management · Aug 18NASAA tallies 1,650 senior-abuse probes as deepfake scams rise
Recruiting & transitions · Aug 18NASAA cuts retest wait to 60 days after a third failure
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