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Jason Diamond provides a quick yet thorough education on the continually evolving independent space answering the questions that many advisor-clients ask during due diligence.
The CFP Board Center for Financial Planning will concentrate on pro bono and research work, while the CFP Board of Standards will focus on certifying advisors.
In a settlement, FINRA said the firm mistakenly believed that third-party b/ds executing the trades were responsible for spotting potential market manipulation.
