FINRA fines broker-dealer for failing to apply Class A sales charge waivers for certain eligible customers on its mutual fund platform

Richard F. Kerr
  • Journal of Investment Compliance, October 2014, Emerald
  • DOI: 10.1108/joic-09-2014-0045

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http://dx.doi.org/10.1108/joic-09-2014-0045

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