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03-23-2009, 11:41 PM
FINRA Fines 25 Firms More Than $2.1 Million for Failures in Mutual Fund Breakpoint Review, Other Violations (Business Wire via Yahoo! Finance)
WASHINGTON----FINRA announced today that it has fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA's firm self-assessment of mutual fund breakpoint discount compliance.
http://us.rd.yahoo.com/dailynews/rss/search/mutual+fund/SIG=11rg1fhna/*http%3A//biz.yahoo.com/bw/090323/20090323005922.html?.v=1
What's your opinion about FINRA Fines 25 Firms More Than $2.1 Million for Failures in Mutual Fund Breakpoint Review, Other Violations (Business Wire via Yahoo! Finance)?
WASHINGTON----FINRA announced today that it has fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA's firm self-assessment of mutual fund breakpoint discount compliance.
http://us.rd.yahoo.com/dailynews/rss/search/mutual+fund/SIG=11rg1fhna/*http%3A//biz.yahoo.com/bw/090323/20090323005922.html?.v=1
What's your opinion about FINRA Fines 25 Firms More Than $2.1 Million for Failures in Mutual Fund Breakpoint Review, Other Violations (Business Wire via Yahoo! Finance)?