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Financial Topics

UITs

News and analysis on unit investment trusts. A UIT is an investment company that offers a fixed portfolio, typically of stocks and bonds, as redeemable units to investors.

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FINRA's Top 5 Fine Categories in 2021

FINRA Caps Off UIT Rollover Sweep With $2M Fine on Wells Fargo Unit

Merrill to Pay More Than $11M Over UIT Rollovers

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