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Earlier this year, the Financial Industry Regulatory Authority made some noise about its desire to take charge of oversight and enforcement of investment advisers, a financial sector currently under the watchful eye of the Securities and Exchange Commission. The SEC must not have thought much of that proposal, because the agency has publicly accused FINRA of altering documents.
October 28, 2011 at 12:00 AM
1 minute read
The original version of this story was published on Corporate Counsel
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