James Van De Graaff

James Van De Graaff

Katten Muchin Rosenman LLP

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Latest Posts › Recruitment Incentives


FINRA Requests Comment on Proposed Rule Requiring Disclosure of Conflicts of Interest in Recruitment Incentives

Member firms often offer financial incentives when recruiting registered representatives. The Financial Industry Regulatory Authority has stated that it believes such financial incentives raise conflicts of interest that...more

1/14/2013 - Conflicts of Interest FINRA Recruitment Incentives

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