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The SRO’s guidance is meant to help firms with their succession plans as they reel from a pandemic and economic woes.
Here’s a good idea: Plan for life events, whether expected or unexpected. That’s the helpful word from FINRA, the broker-dealer sector’s own regulatory authority. “Succession planning can benefit customers, member firms and registered representatives,” the regulatory authority declares in its recent Regulatory Notice 22-23, which “discusses these benefits, as well as common types of succession...
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