Updated Saturday, August 2, 2014 as of 4:35 AM ET
Practice - Regulatory/Compliance
FSI Warns of Regulators' Enforcement Focus
Thursday, January 30, 2014
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WASHINGTON Advisors and brokers are under mounting scrutiny from federal regulators, Financial Services Institute CEO Dale Brown cautioned members as they gathered this week in the nation's capital for the annual OneVoice conference and the FSI's 10th anniversary.

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