To become the industry’s SRO, FINRA estimates it will cost roughly 15 times less in start-up costs than estimates in a study commissioned by the Financial Planning Coalition, which includes CFP Board, FPA and NAPFA.
“This investment builds upon FINRA’s established, nationwide program for examinations currently in place, district offices across the country and ability to leverage existing infrastructure, technology and staff,” according to a FINRA statement.
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