Tagged with "CCO"

FINRA Releases Regulatory Notice Urging Advisors To Prepare Succession Plans

Posted on November 15th, 2022 at 1:12 PM
FINRA Releases Regulatory Notice Urging Advisors To Prepare Succession Plans

The Financial Industry Regulatory Authority (FINRA) is urging financial advisors to establish a succession plan incase of unexpected life events as an increased number of advisors near retirement.

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