State regulators on indies radar
After spending the past three years cozying up to securities regulators at NASD, independent-contractor broker-dealers are fearful that state regulators pose an increasing threat.
NEW YORK — After spending the past three years cozying up to securities regulators at NASD,
independent-contractor broker-dealers are fearful that state regulators pose an increasing threat.
The Financial Services Institute Inc. of Atlanta, a trade group representing independent-contractor
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