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Journal Articles
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (3): 6–9.
Published: 21 August 2019
... Foreside On January 31, 2019, the Financial Industry Regulatory Authority, Inc. (“FINRA”) issued an interpretive letter (the “2019 Letter”) extending previously issued guidance by permitting passively managed open-end registered investment companies including separately managed series of a business...
