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FINRA Exam Gives Handy Map To Spot Conflicts In Broker Pay

By Ed Beeson ( August 24, 2015, 6:38 PM EDT) -- A new probe by the Financial Industry Regulatory Authority finds the regulator charting a deep dive into the murky and sometimes conflicted world of broker-dealer pay practices, but in making its so-called sweep exam public, FINRA also has mapped out where it sees potential compensation conflicts arising and indicated ways in which firms can prevent them....

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