No financial advisor wants to be under suspicion or investigation by the Financial Industry Regulatory Authority (FINRA). If you receive a Rule 8210 letter, that may be your first assumption. But it’s not necessarily true and a deeper understanding of the rule can...
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Month: July 2022
Insurance professionals’ honest mistakes can cost them
The California Department of Insurance is in charge of regulating insurance agents, adjusters and other insurance professionals in this state. Part of the Department’s job is to make sure that these insurance professionals maintain high ethical standards and follow...