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House of CARDS: FINRA Overreaches Again

  • Feb 18, 2015
    blog

    Pardon the Disruption

    A new study by TD Ameritrade found that two-thirds of U.S. adults have experienced an event that seriously disrupted their long-term saving and retirement plans. Most common: losing a job....More
  • Feb 13, 2015
    Article

    House of CARDS: FINRA Overreaches Again 1

    FINRA is overstepping the boundaries with its CARDS proposal. The plan will only create risk of a data breach of customers' information and take the compliance function out of the hands of the firms....More

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