Updated Friday, July 25, 2014 as of 11:08 AM ET
Practice - Regulatory/Compliance
SEC, FINRA to Host B-D Compliance Events
by: Andrew Welsch
Tuesday, March 18, 2014

The SEC and FINRA want to reach out and talk directly to advisors—but they’re not saying, at least for now, what they want to talk to them about.

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