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: Securities Law Prof Blog

FINRA Warns About Misleading Investors About Expertise

By Securites Lawprof

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FINRA issued a regulatory notice to remind firms of their obligation to supervise representatives' communications with the public used to establish their expertise. FINRA is concerned that some representatives are misrepresenting their investment acumen by using ghostwritten communications that mislead...

Full post as published by Securities Law Prof Blog on May 21, 2008 (boomark / email).

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