The scrutiny stems from registered reps who obtained PPP loans through undisclosed outside business activities, but a letter to one such rep is not part of a targeted examination or ‘sweep,’ FINRA says.
Attend this webinar on Jan. 27th to hear David Albrycht, CFA, President and Chief Investment Officer of Newfleet Asset Management, provide his 2021 fixed income outlook and multi-sector positioning for the year ahead.
