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CFP Board Imposes Interim Suspension on John A Dougherty of Blue Bell, Pennsylvania

CFP Board Imposes Interim Suspension on John A Dougherty of Blue Bell, Pennsylvania
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United statesBlue bellJohna doughertyFinancial industry regulatory authority incBoard centerExchange commissionEthics commissionAppeals commissionCertified financial planner board of standards incImposes interim suspensionFinancial planner boardInterim suspension orderEnforcement counselFinancial industry regulatory authorityUniform termination noticeSecurities industry registration

SEC Approves FINRA Supervisory Control Rules Expanding Remote Work Options for Broker-Dealers | King & Spalding

Financial Industry Regulatory Authority (“FINRA”) supervisory control rules require each securities broker-dealer that is a member of FINRA to categorize every location from which the.

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United statesFinancial industry regulatory authorityTest enrollment services systemUniform securities agent state lawSecurities industry essentialsGeneral securitiesUniform applicationSecurities industry registrationTransfer formPotential customersEvaluating customer financial profileInvestment objectivesMakes suitable recommendationsTransfers assetsMaintains appropriate recordsVerifies customer purchase

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FINRA Hits Another BD With Reg BI-Related Fine

Network 1 Securities did not establish, maintain and enforce a supervisory system to comply with Reg BI s care obligation.

United statesState of idahoNew jerseyMichael molinaroFinancial industry regulatory authorityRed bankWhat you needRegulation best interestGeneral securities representativeGeneral securities principalUniform applicationSecurities industry registration