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Keywords: Compensation practices
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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2014) 15 (1): 62–64.
Published: 27 February 2014
... creation and distribution; and compensation practices. Findings – The report highlights areas that FINRA expects broker-dealers to consider in reviewing their compliance policies and procedures to assess whether firms should implement changes to their own conflict management frameworks. FINRA...
