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SEC And FINRA Broker-Dealer Enforcement: Recapping 2023 And Previewing 2024 - Securities

With the close of FINRA's fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in the coming year.

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FINRA s Focus on Compliance With Market Integrity Rules | Davis Wright Tremaine LLP

FINRA's new enforcement head, Bill St. Louis, recently appeared on FINRA Unscripted, a FINRA podcast where he discussed his vision for FINRA's Enforcement Department as well as certain.

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Complex Forms of Markets Abuse on the Rise for US Banks

Complex Forms of Markets Abuse on the Rise for US Banks
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SEC and FINRA Broker-Dealer Enforcement: Recapping 2023 and Previewing 2024 | K&L Gates LLP

With the close of FINRA’s fiscal year comes the opportunity for broker-dealer firms to consider where regulators have focused their enforcement efforts and also what can be expected in.

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FINRA Facts And Trends: January 2024 - Financial Services

Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement.

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