Posts tagged Cross-Selling Sweep Exam.
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FINRA's Cross-Selling Sweep Exam

In late October, FINRA issued a sweep exam, commanding firms to produce 15 categories of documents about firm's cross-selling programs over a 5-year span. The sweep seeks information on cross-selling, including incentives and compensation, tracking and performance metrics, complaints and discipline, compliance and supervision, among others. The letter also imposes a November 15 response deadline.

The sweep letter does not expressly refer to the recent Wells Fargo cross-selling scandal or to Senator Warren's ensuing broad-side calling for SEC Chair White's resignation ...

Posted in: FINRA
Tags: burr and forman, burr forman, Cross-Selling Sweep Exam, finra, securities litigation, Securities Litigation & Arbitrarion blog, Securities Litigation & Arbitration, wells fargo
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