FINRA REQUEST FOR COMMENT: PROPOSED RULE TO LIMIT A REGISTERED PERSON FROM BEING NAMES A CUSTOMER"S BENEFICIARY OR HOLDING A POSITION OF TRUST FOR OR ON BEHALF OF A CUSTOMER

edit delete

Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulte...


You need to be a subscriber to view this article. It's free!
Sign In / Sign Up
FINRARequest for Comment

CN Editor

November 13, 2019

Click here to view source article

Feedback

Thank you for the feedback!!