Investment Executive Weekly newsletter

Week of June 20, 2022
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Industry News
Penalties for pre-signed forms hit advisors' pocketbooks hard
Rising penalties for pre-signed and altered forms are an industry reality, and plenty of advisors have been vulnerable to the ubiquitous MFDA allegations. This special investigation looks into regulatory deterrence and the pain of enforcement, and provides tips to ensure your practice remains protected.
June 20, 2022


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