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Daily Archives: January 3, 2023

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Turn Over Your Personal Cell Phone or Else!

Article: News, Article: RecruitingBy TGGJanuary 3, 2023

On September 27, 2022 the SEC charged 15 broker dealers and one affiliated investment advisor over $1.1 billion in fines due to failure to keep appropriate records. This time, the focal point was text messaging, normally bundled with a more significant offense, but this time, a stand-alone. As an advisor, how many times have you…

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