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Articles Posted in BDCs

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FINRA’s 2016 Priorities: FINRA is Searching for Sales Practice Issues

Brokers beware; FINRA is watching your firm, and you.  Becoming embroiled in a regulatory inquiry or investigation can become a major and costly headache and impediment to registered representatives’ business. In January 2016, the Financial Industry Regulatory Authority (FINRA) released its annual list of priorities, showing what sorts of sweeps…

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