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Gov. Charlie Baker raised questions about Massachusetts Commonwealth Secretary William Galvin's proposed fiduciary rule in a comment letter delivered on Tuesday.
The concerns were raised in a report released by the SEC's Office of Compliance Inspections and Examinations detailing its priorities for exams in 2020.
FINRA claims Oppenheimer clients may have incurred more than $3.8 million in extra fees that they would not have had to pay if they had held their UIT positions to their maturity dates.
