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Thursday, March 4, 2021

Regulatory Notice 21-08

Summary FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA Membership” and using the email address “supports@finra-online.com”.... [...]
Thursday, March 4, 2021

Regulatory Notice 21-07

Summary Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional... [...]