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Wealth Management Blog

Mark Gialo

senior manager, SunGard Global Services

FINRA regulations 2111 & 2090 raise the bar on advisor accountability. Is your firm ready?

posted on May 21, 2012

Come July 2012, FINRA will be “raising the bar” on the fiduciary obligations financial advisors have relative to their clients. While prior rules (FINRA 405 & 2090) emphasized ...

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