FINRA SEEKS COMMENT. Thinkadvisor.com. “The Financial Industry Regulatory Authority is requesting public comment on its proposal to establish pay-to-play type rules for broker-dealers that closely mirror those the Securities and Exchange Commission has set forth for advisors.” GRAY REJECTED PLEA. Fox. “Outgoing District of Columbia Mayor Vincent Gray rejected a proposed plea bargain offered by federal […]
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- Post author By Eric Brown
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- Categories In A.M. Report, Illinois, Mississippi, Ohio