CONFLICT MANAGEMENT

How are conflicts of interest managed in this field? In your papers you may discuss the central issues reviewed in FINRA’s report. How are the approaches to the management of conflicts of interest reflected in examples of regulation discussed in the readings from Lofchie et al. assigned for this week? You can use the FINRA report to structure your answer, but make sure to show how the principles reviewed by FINRA apply to examples of conflicts of interest discussed in the Guide to Broker-Dealer Regulation

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