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Articles Posted in Broker Dealer Financial Services Corp

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Broker Dealer Financial Services Corp. Sanctioned Over Non-Traditional ETF Practices

The Financial Industry Regulatory Authority (FINRA) entered into an agreement whereby the regulatory fined Broker Dealer Financial Services Corp. (BDFS) concerning allegations that between March 2009 and April 2012, BDFS failed to establish and maintain a supervisory system, including written procedures, that was reasonably designed to ensure that the firm’s…

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