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The SIPA | 2020 | January

The SIPA

The Blog Of The Securities Industry Professional Association
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Archive for January, 2020

We can do better

Too many barred representatives is a bad look for our industry On its web site FINRA now posts a complete list of all registered representatives since 1999 that have been permanently barred from the industry.  The sheer enormity of this list is quite shocking when you consider this does not include reps that may have […]
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