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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

Friday, December 7, 2012 – 4:52 AM by Guest Columnist Patrick Burns
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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.

Mentioned in this article:

The Law Offices of Patrick J. Burns, Jr., P.C.
Specialized Breakaway Service
Top Executive: Patrick J. Burns, Jr., Esq.

Advanced Regulatory Compliance, LLC
Compliance Expert
Top Executive: Patrick J. Burns, Jr., J.D.




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