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For some investors a high-volume trading strategy could be something that they seek. For others it might be a sign of excessive trading. But when does a lot become too much? What does a firm's responsibility when it comes to supervising for this behavior? On this episode, FINRA Enforcement's Chris Kelly joins us to tell us more.
Securities regulators raise awareness that increased social isolation during the ongoing COVID-19 pandemic can have a devastating impact on senior investors, offering tips and resources.