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Brokers, tell the B-D when selling cannabis investments Don t risk letting your career go up in smoke December 21, 2020 Investments in cannabis-related businesses has boomed as some states have legalized marijuana, but brokers and advisers can face plenty of problems if they don’t follow industry guideline when it comes to selling private securities of such businesses. Indeed, it appears that, as the year ends, the Financial Industry Regulatory Authority Inc. is taking a close look at how broker-dealers and their advisers’ conduct so-called “outside business activities.” Registered reps have to get the approval of their broker-dealer before getting paid from a different business or joining a partnership.

Brian radooExchange commissionFinancial industry regulatory authority incFinancial group incCetera financial groupFinancial industry regulatory authorityNext financial groupNext financialபிரையன் றாதூபரிமாற்றம் தரகுநிதி தொழில் ஒழுங்குமுறை அதிகாரம் இன்க்நிதி குழு இன்க்சிஇடிஇஆர்ஏ நிதி குழுநிதி தொழில் ஒழுங்குமுறை அதிகாரம்அடுத்தது நிதி குழுஅடுத்தது நிதி