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A firm settled FINRA charges for failing to (i)
properly designate personnel as either public side or private side,
(ii) reasonably supervise communications between them and (iii)
escalate communications that disclosed potential material nonpublic
information ( potential MNPI ).
In a Letter of Acceptance, Waiver and Consent, FINRA found that
certain personnel in the same subgroup, consisting of public- and
private-side employees, were improperly redesignated as private
side in connection with a physical relocation. The firm then failed
to train the redesignated personnel in their new responsibilities
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