Tennessee Department of Commerce and Insurance’s Post

Sure, you may have common sense, but when it comes to your finances, do you have "Common Cents"? Our team hit Nashville's streets to ask real folks if they know the mission of TDCI's Securities Division. To learn more about our mission of regulating the securities industries and educating investors on ways to prevent financial fraud, follow the link in our bio or watch our latest video! WATCH: https://lnkd.in/eCbacb7j #commoncents #tnsecurities #tennessee #smartmoney

Here are the must-reads from today’s edition of Advisor Squawk (advisorsquawk.com). If you enjoy Advisor Squawk, please consider following our page on Linkedin. NYCB Stock Crash Stokes Fears of Crisis, Regional Bank ETF Fallout The Aftermath of SEC’s Climate Disclosure Rule Wells Fargi Sued by Ex-FA’s Over Cross-Selling Tactics Department of Justice Opens Probe of Globe Life, American Income Life Genworth Accused of Wrongly Terminating Life Policies New Marketing Rule, AI in SEC Examiners Crosshairs Navigating the Regulatory Tsunami for RIAs UBS Report: Many Investors Aren’t Preparing for Successful Wealth Transfer The Weaponization of U5 Terminations Heating Up Cold Prospects: Strategies for Effective Outreach … And 14 New Articles Covering Industry News, Practice Management and Compliance.

Here are the must-reads from today’s edition of Advisor Squawk (advisorsquawk.com). If you enjoy Advisor Squawk, please consider following our page on Linkedin. NYCB Stock Crash Stokes Fears of Crisis, Regional Bank ETF Fallout The Aftermath of SEC’s Climate Disclosure Rule Wells Fargi Sued by Ex-FA’s Over Cross-Selling Tactics Department of Justice Opens Probe of Globe Life, American Income Life Genworth Accused of Wrongly Terminating Life Policies New Marketing Rule, AI in SEC Examiners Crosshairs Navigating the Regulatory Tsunami for RIAs UBS Report: Many Investors Aren’t Preparing for Successful Wealth Transfer The Weaponization of U5 Terminations Heating Up Cold Prospects: Strategies for Effective Outreach … And 14 New Articles Covering Industry News, Practice Management and Compliance.

🚨 Attention TD Bank Investors! Facing the ripple effects of the recent class action? Here's what you need to know: 🔍 The lawsuit alleges material non-disclosures affecting your investments. With penalties and market reactions making headlines, are your investments at risk? 👉 Discover key strategies on navigating this legal turbulence and safeguarding your investment. From diversification to industry insights, equip yourself with the knowledge to turn challenges into opportunities. 💼 Don't let uncertainty derail your financial goals; be proactive, informed, and strategic. Ready to dive deeper? 🌊 Curious about the potential opportunities amidst the chaos? 🔗 Dive into strategies and future steps for investors. Prepare for what's next! #InvestmentStrategy #TDBank #LegalNews #InvestorInsights #MarketTrends #FinancialPlanning 🌟

🌟 Struggling to navigate the latest TD class action lawsuit? You're not alone. This unfolding legal drama demands attention, especially if you have TD shares in your portfolio. 📉 With an immediate stock price drop over 10%, what are your next steps? Should you stay invested or cut losses? 🎯 Understanding potential ramifications of anti-money laundering breaches isn't just for TD's investors but offers lessons for handling similar situations in the future. 🔍 What strategic moves should you consider in this scenario? Explore insights and possible actions that can help protect your interests and capitalize on any openings this situation creates. 💬 Curious about how this legal entanglement might reshape your financial strategies or the broader market? Let's dive in together and uncover insights to guide your investment journey 📈 🤔 Eager to learn more? 👇 #InvestmentInsights #TDClassAction #MarketStrategy

"Along with investment advisers, FinCEN has also targeted vulnerabilities in the U.S. real-estate market and corporate entities that could be used to hide sources of dirty money." #fincen #aml #kyc #financialcrime #assetmanagers #brokerdealers #investmentadvisers #regulatorycompliance

🌍 The recent class action lawsuit against Toronto-Dominion Bank isn't just headline noise; it’s a pivotal moment for investors everywhere. 📉 What if your investment decisions are being influenced by unseen compliance risks? 🤔 As TD faces a hefty $3.09 billion penalty and operational constraints in the U.S., it reminds us about the importance of transparency and meticulous due diligence. Consider this a warning call to reassess not just TD stock, but how you approach your investments altogether. 🧐 Are you diversifying your portfolio to minimize similar risks? 💼 Are you actively briefed on regulatory changes in the sectors you're vested in? 🛡️ Don't get caught off-guard! Learn the steps to fortify your investment strategy against compliance mishaps. 🔍 Discover the deeper impact of TD's legal battles and strategic steps for investors in our latest insights. Tune in to learn more about safeguarding your financial future! 💪 #InvestmentStrategy #ComplianceRisk #FinancialPlanning 📈

🚨 Investors: The latest class action lawsuit involves The Toronto-Dominion Bank. Are your investments at risk? We break it all down—from understanding the impact to strategic next steps. Dive into our latest analysis where we discuss potential effects on TD's stock prices and what it means for you as an investor. 📊💼 Ever wondered how to turn uncertainty into opportunity? Our post uncovers how to navigate this challenge and explores the broader implications for your portfolio. Don't miss out on actionable insights that could shape your investment strategy moving forward. 🧐🔍 #Investing #ClassAction #TDBank #MarketInsight #StrategicMoves

💥 Breaking: Toronto-Dominion Bank investors face a pivotal moment with a new class action lawsuit on the horizon. But what does this mean for your investments? 🤔 Dive into the critical insights and learn the steps savvy investors should consider. From evaluating current holdings to understanding broader industry implications, we've got you covered. Stay informed and strategize your next move to safeguard your investment future! 💡 Discover why knowing your rights and aligning with proven legal experts could be your best strategy forward. 📈 Curious? You should be! 🌟 #InvestmentStrategies #TDBank #MarketInsights

New from me: Washington is trying to figure out what to do w/"massive passives" -- the Big Three index funds that own huge stakes in banks. BlackRock and Vanguard each hold more than 10% of the shares at many banks, a threshold that normally determines whether an investor is assumed to have a controlling interest in a lender. (State Street also holds a number of sizable stakes.) At present, regulators tacitly exempt the biggest asset managers from a host of onerous banking rules—such as needing permission when they acquire shares above the 10% threshold—as long as the firms don't exert a political or activist agenda. Nobody really monitors these passivity commitments, though. Now that might be changing, spurred by members of the Federal Deposit Insurance Corp.