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FINRA posts rule for reps acting as beneficiaries

01 Nov 2020 8:11 AM | Kathy Countryman (Administrator)

FINRA posts rule for reps acting as beneficiaries

The Financial Industry Regulatory Authority issued a rule that any FINRA-registered representative who is listed as a client's beneficiary must get written approval from their firm. The rule also will apply to advisors named as their clients' executor, trustee or power of attorney.

Full Story: WealthManagement (10/29) 


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