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FINRA® Reports on Best Practices to Avoid and Mitigate Conflicts of Interest in Manufacturing and Selling Financial Products
Saying it recognizes the progress made by financial broker-dealer firms in better managing conflicts of interest, the Financial Industry Regulatory Authority, Inc. (FINRA ® ) issued a 44-page report recommending best practices―not new regulations, the Authority stressed―to “carry forward”...
3 Nov 2013
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