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Articles tagged "Linda Fienberg"

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Patrick Burns: By opening the door for RIAs to have their arbitration cases held before a FINRA arbitration panel, it seems that FINRA has taken another step in its quest to become the SRO for RIAs.

Analysis: Beware of a FINRA bearing gifts for RIAs

The broker regulator takes another step towards ruling RIAs by making its arbitration process open to them

December 7, 2012 at 4:52 AM

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