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: Securities Law Prof Blog

Regulators Looking for Firms' "Best Practices" in Dealing with Senior Investors

By Securites Lawprof

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In a joint press release, the SEC, NASAA and FINRA announced a new initiative on behalf of senior investors. The goal of the initiative is to identify effective practices used by financial services firms in dealing with senior investors, and...

Full post as published by Securities Law Prof Blog on February 08, 2008 (boomark / email).

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