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First Trust Portfolios has been fined $10 million by the Financial Industry Regulatory Authority (FINRA) for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.
Adrianne Appel writes regulatory news, policy, and trends for Compliance Week. She previously reported about policy developments for Bloomberg Law and Bloomberg Government. Email: adrianne.appel@complianceweek.com LinkedIn:... More by Adrianne Appel
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