Business, 01.08.2020 03:01 vero5047

A registered representative was guilty of an undetected minor rule violation during the last year of employment at a broker-dealer firm. The representative has now decided to leave the industry. For how long might the representative still be subject to fines or other sanctions by Financial Industry Regulatory Authority (FINRA) if the violation is belatedly detected?

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A registered representative was guilty of an undetected minor rule violation during the last year of...

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