The Financial Industry Regulation Authority (FINRA) requires those who provide a recommendation for a transaction or investment strategy involving a security to a client have reasonable basis for the advice. The organization states this basis should be the result of...
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Month: October 2021
Will the feds push for more broker accountability?
Those who operate in the financial planning and wealth management sector need to follow an array of regulations. The standards that guide these professionals can vary depending on their title — making compliance even more complicated. Financial planners, for example,...