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Tag Archives: INCH
FINRA RULES INCH TOWARD HOLDING BROKERS FULLY ACCOUNTABLE TO THEIR CUSTOMERS
Later this year, the Financial Industry Regulatory Authority ("FINRA") will put in effect new rules of conduct that narrow the gap between brokers' duties and investors' expectations of their brokers' responsibility. Many investors would be surprised to learn that licensed … Continue reading
Posted in Banking and Finance law
Tagged Accountable, Brokers, Customers, FINRA, Fully, holding, INCH, Rules, their, Toward
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