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IMPORTANT INDUSTRY INFORMATION
Office Cautions Investors of Fraud during Financial Problems
Regulators Release New Report to Assist Financial Services Firms in Serving Older Investors
FINRA posted the following Investor Alert on their website regarding false FINRA correspondence about ARS settlements. Please review the alert and be cautious when asked to provide personal information. http://www.finra.org/Investors/ProtectYourself/InvestorAlerts/FraudsAndScams/P120094
Download Licensing Records
Investor Protection Bill
Notice: Canadian Broker Dealers
Senior Designation Rules - Effective 1/18/09
Florida, Office of Financial Regulation
200 East Gaines Street · Tallahassee, FL 32399
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