FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

Stockbroker Law - Friday, August 31, 2012
FINRA Requires Verification of e-Mailed Instructions to Transmit or Withdraw Assets From Customer Accounts

In FINRA Regulatory Notice 12-05 (http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p125462.pdf)(Jan. 2012), the Fi ..

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Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

Stockbroker Law - Friday, August 31, 2012
Vermont Investors Entitled to Protections Under the Vermont Consumer Protection Law

The State of Vermont Legislature has passed consumer fraud laws to protect Vermont citizens from unfair and deceptive business practices. Th ..

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