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: Securities Law Prof Blog

FPA Asks SEC to Clarify FINRA's Authority over Financial Planning Activities of Broker Dealer

By Securites Lawprof

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On August 17 the Financial Planning Association (FPA) wrote to the SEC questioning the authority of FINRA to bring an enforcement action against a dual registrant (Ameritas) relating to its marketing of misleading financial plans. According to FPA, financial planning...

Full post as published by Securities Law Prof Blog on August 18, 2009 (boomark / email).

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