Practice - Regulatory/Compliance
FINRA Suitability Rule at Forefront of Group's Reg Agenda
by: Kenneth Corbin
Monday, January 14, 2013
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Alarmed at a set of conditions that could invite sales abuses and eventually a market correction, the Financial Industry Regulatory Authority enters 2013 with a warning to investment advisors that the group plans to keep a close eye on the industry and hold advisors accountable to its new suitability rule.

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