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By Jane Wollman Rusoff |
December 20, 2012
Dalbar and Research magazine conducted an in-depth study of the new ERISA 408(b)(2) disclosure rule, providing rankings in key categories of big providers.
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By Melanie Waddell, AdvisorOne |
July 15, 2011
Two areas of uncertainty remain for BDs regarding FINRA's new rule requiring operations personnel to take a FINRA exam: which personnel must take the exam and which exam they will take.