Updated Friday, July 25, 2014 as of 2:49 AM ET
Practice - Regulatory/Compliance
FINRA Disclosure Proposal Heads to SEC
by: Andrew Welsch
Tuesday, March 11, 2014
Partner Insights

FINRA has filed a proposal with the SEC requiring advisors to disclose recruitment bonuses to their clients when switching firms, according to documents posted on FINRA’s website.

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