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By Melanie Waddell, AdvisorOne |
June 25, 2012
The passage of legislation to allow the SEC to collect user fees to fund advisor exams in the current political environment is “very unlikely,” a FINRA official said Monday.
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By Melanie Waddell, AdvisorOne |
July 29, 2011
Responding to mutual fund companies that charge the regulator fails to consistently communicate new interpretations of existing advertising rules for mutual funds, FINRA says it will change its ways.