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Articles Posted in Tax-Free Puerto Rico Fund

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FINRA Fines Popular Securities Over Concentrated Customer Accounts in Puerto Rico Municipal Bonds and Bond Funds

The Financial Industry Regulatory Authority (FINRA) recently sanctioned Popular Securities, Inc. (Popular Securities) alleging between July 1, 2011, and June 30, 2013, Popular failed to establish and enforce a supervisory system and procedures designed to identify and review concentrated securities purchases in Puerto Rico municipal bonds and Puerto Rico closed-end…

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