TC, that is a good question. Who is the higher a
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Posted On: 01/29/2019 2:48:56 PM
TC, that is a good question. Who is the higher authority and who sets the standards? SEC or FINRA? I don't know. I would have thought it was the SEC but I'm not sure. I actually called FINRA a few days ago and left a message explaining the situation. They did not call back.
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