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FINRA hits LPL with $6M fine | Financial Planning

FINRA hits LPL with $6M fine | Financial Planning
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United statesHugh berksonDouglas schulzMichael edmistonJonathanw evans associates in studio cityPublic investors advocacy bar associationInvest securities consultingCleveland based mccarthy lebit crystalRegulation best interestStudio city

FINRA s remote work proposal would let brokers suppress home office addresses

FINRA argues that brokerage representatives should have the ability to keep information about private residences out of public databases.

United statesRobert cookRobert colbyHugh berksonAmerican securities administrators associationExchange commissionPublic investors advocacy bar associationInvestment adviser public disclosureRegulation and complianceIndependent advisorsRegulatory reform

FINRA Temporarily Withdraws Broker Expungement Rule from SEC

The FINRA rule would have made several changes to the broker expungement process, including establishing "specialized arbitration panels" for such requests.

United statesLisa bragancaDavid meyerExchange commissionFoundation viceFinancial industry regulatory authorityPublic investors advocacy bar associationAmerican securities administrators associationCentral record depositoryVice president lisa bragancaஒன்றுபட்டது மாநிலங்களில்லிசா பிரகாங்கடேவிட் மேயர்பரிமாற்றம் தரகுஅடித்தளம் துணைநிதி தொழில் ஒழுங்குமுறை அதிகாரம்