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Five broker-dealers agree to pay fines to settle FINRA prospectus delivery cases

Ropes & Gray LLP

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USA January 29 2013

Without admitting or denying findings made by FINRA, five broker-dealers, including affiliates of a mutual fund complex and a life insurance company, agreed to fines imposed in connection with disciplinary actions instituted by FINRA.2

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Filed under

  • USA
  • Capital Markets
  • Ropes & Gray LLP

Tagged with

  • Broker-dealer

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