Dropping A B/D License Without Dropping Current B/D Platform
CFO News Room
NOVEMBER 15, 2022
I think the biggest thing that started it was when we would have our branch audits, we never had any feedback about something on the RIA side. Because if you want to accommodate holding an existing stock position that isn’t being traded, just you need a framework to literally have a non-traded account. Or, where’s this?
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