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Tag: can a broker be a customer’s beneficiary?

New FINRA Rule Limits Brokers from Serving as Beneficiaries, featured by top securities fraud attorneys, The White Law Group

Blog, FINRA SEC Sanctions, Securities Fraud Articles

December 14, 2023

FINRA Rule 3241 Limits Brokers as Beneficiaries

FINRA Rule 3241 Protects Investors from Conflicts of Interest What is FINRA Rule 3241? The Financial Industry Regulatory Authority (FINRA),...

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