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FINRA 2018 Annual Regulatory and Examination Priorities Letter Makes No Mention of a Fiduciary Duty for Brokers

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FINRA 2018 Annual Regulatory and Examination Priorities Letter Makes No Mention of a Fiduciary Duty for Brokers

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1st Mar 2018

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SAIFM is the leading professional institute for financial markets practitioners offering prescribed exams (assessments) for various roles and functions in the securities markets and such ancillary services as may promote professionalism and integrity in the financial markets.

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