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Articles tagged "SLCG"

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Alan Wolper: The biggest challenge [for FINRA] is finding a way to strike a reasonable balance between being the tough cop on the beat it yearns to convey and an industry association that actually helps its members.

FINRA shifts an unwelcome spotlight away from itself -- by training it on the brokers it oversees

The embattled SRO is spending $3.5 million to advertise BrokerCheck and is requiring its front-and-center placement on firms' websites as public demand for heightened fiduciary care grows

August 17, 2016 at 8:05 PM

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