author tom-potter Retail Related Topics 
Burr Forman
AUGUST 18, 2021
The Financial Industry Regulatory Authority (“FINRA”) recently kicked off a “sweep” examination with its August 2021 Targeted Exam Letter on “practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.” Tom is licensed in Tennessee, Texas, and Louisiana.
Burr Forman
FEBRUARY 9, 2021
During the height of the GameStop (NYSE: GME) mania, Slate author Jordan Weissman explained that. “[A]t The United Kingdom’s Financial Conduct Authority issued a statement: Buying shares in volatile markets is risky and you may quickly lose money. Tom is licensed in Tennessee, Texas, and Louisiana. 29, 2021) is here.
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