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    Home / Tag: FINRA

    Tag: FINRA

    SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340

    The SEC approved amendments to NASD Rule 2340 (Customer Account Statements) to modify requirements regarding to the inclusion of per share estimated values for direct participation program (DPP) and unlisted real estate investment trust

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    Posted January 26, 2015 | by Braden Perry |in Compliance, News, SEC, White Collar Crime

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