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FINRA Issues New Warning on Reg BI, Form CRS Compliance
News January 28, 2025 at 05:26 PM
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What You Need To Know
- A new report highlights compliance gaps FINRA has on its radar this year.
- FINRA's report also points to firms' failures to supervise social media influencers, and mobile apps.
- Another area of scrutiny: Advisors who recommend products they don't understand.
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