United States: Oct 26: The Old Switcherooni - Cadwalader, Wickersham & Taft LLP

United States: Oct 26: The Old Switcherooni - Cadwalader, Wickersham & Taft LLP

Mondaq

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Broker-Dealer settles FINRA charges for supervisory failures over mutual fund switches. DOL extends enforcement relief to ensure compliance with prohibited transactions exemption.

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