The SEC approved a disclosure rule proposed by FINRA requiring that member firms hiring or associating with a registered representative provide the representative’s former clients an “educational communication” to be written by FINRA. The communication is intended...
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Month: March 2016
Recent Posts
- SEC adopts amendments to prevent misleading or deceptive fund names
- SEC charges YieldStreet and its subsidiary for misleading investors
- SEC using AI as part of surveillance and enforcement, Gensler says
- Judge approves settlement in lawsuit over Wells Fargo unauthorized accounts
- FINRA remote supervision proposal draws continued opposition
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