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FINRA Launches New-Style Reviews

October 22, 2010
Compliance Reporter

Brian L. Rubin, a partner in Sutherland’s Litigation Practice Group, spoke with Edward Beeson of Compliance Reporter about FINRA's enforcement department conducting sweeps of broker-dealers affiliated with banks, savings and loans associations and credit unions. Rubin said, "FINRA has long been concerned about products being sold as 'cash alternatives' – another focus of the exam – and it seems it has evidence of these being sold at certain bank-affiliated B/Ds."

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