Tackling the contentious issue of guidance vs. regulation
For years, a battle over the place of guidance in the regulatory world has been hotly debated. Now, there may be some clarity.
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ArticleFINRA fines First Trust $10M for allegedly giving too-generous gifts to brokers
First Trust Portfolios has been fined $10 million by FINRA for allegedly providing excessive meals, gifts, and other incentives to broker-dealers.