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T. Rowe Price

FINRA Levies $770K Fine-Failure to Deliver Prospectus

FINRA Levies $770K Fine-Failure to Deliver Prospectus 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) recently assessed fines of $770,000 to the following five firms for failing to deliver prospectuses to purchasers of securities: LPL Financial LLC – $400,000State…

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