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FINRA Official Calls Off-Channel Flags 'Shockingly Common'

By Sarah Jarvis ( May 14, 2024, 10:39 PM EDT) -- A Financial Industry Regulatory Authority official said Tuesday that firms often veer into issues with off-channel business communications thanks to what's on their representatives' business cards and email signatures, and that the biggest red flag of recordkeeping violations are the habits of firms' own leaders and managers....

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