April 28, 2018

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Featured News

More advisers use alts, but few understand them

Alternative investments are complex and difficult to define, let alone explain to clients?

One year later, is Finra 360 working?

A year after launching its self-examination, the regulator is getting both praise for its efforts and calls for more concrete results.

Finra's Board of Governors lacks transparency, critics say

Despite having made some changes, calls for more open meetings persist

A pat on the back for progress, but Finra has a long way to go

Regulator has chalked up some welcome changes, but the work is not done.


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