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Taping Rule News Today : Breaking News, Live Updates & Top Stories | Vimarsana
Public scarlet letter coming this year for sketchy brokerages flagged by regulator FINRA
A new SEC-approved rule will allow regulators to publicly identify 'restricted firms' in BrokerCheck searches.
United states
Hugh berkson
Francis skinner
Andrew harnett
Restricted firm
Financial industry regulatory authority
Restricted firm on brokercheck
Public investors advocate bar association
American securities administrators association
Exchange commission on feb
Exchange commission
Federal register
Taping rule
Coastal equities
Restricted firms
Regulation and compliance
Finra fines small BD for bad information in note sale
WestPark Capital's information in the sale of $3.9 million of promissory notes was faulty, according to the regulator.
Richard rappaport
Financial industry regulatory authority inc
Westpark capital inc
Westpark capital financial services
Financial industry regulatory authority
Los angeles based
Spark capital
Westpark capital
Taping rule
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