Burr & Forman

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Securities Litigation

01.9.2018

FINRA 2018 Priorities Letter Released

FINRA recently published its 2018 Annual Regulatory and Examination Priorities Letter, which identifies opportunities for firms to improve their compliance, supervisory and risk management policies…

12.14.2017

New FINRA Rules Address Elderly Abuse

On February 5, 2018, FINRA will enact two rules to assist brokers with addressing financial exploitation of the elderly. Statistically, the elderly have a 1…

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