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By Melanie Waddell, AdvisorOne |
January 8, 2013
FINRA released in early January an updated set of questions and answers on its new rule on communications with the public.
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By Dale Brown, Financial Services Institute |
June 6, 2012
In voicing support for HR 4624, FSI believes an advisor SRO will close an unacceptable regulatory gap that leaves investors exposed to potential fraud and abuse at the hands of unscrupulous investment advisors.
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By Melanie Waddell, AdvisorOne |
November 3, 2011
The SEC's study on financial literacy will help SEC in rulemaking on point of sale disclosures of an investment product or service, Rominger says