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  @IN Wire

May 20 11:03AM
Mark Schoeff Jr.
Virtually every #Finra arbitration complaint mentions a violation of state-level fiduciary-duty laws. #FINRAannualconf
May 20 10:58AM
Mark Schoeff Jr.
Compliance is moving from bottom-up function to top-down and requires executive support. #FINRAannualconf

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