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FINRA Facts and Trends: October 2023 | Bracewell LLP

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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FINRA mounts defense against 'existential' legal threats

FINRA mounts defense against 'existential' legal threats
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Financial Industry Regulatory Authority October 2023 Updates

Financial Industry Regulatory Authority October 2023 Updates
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Judge lets Finra proceed with enforcement action against broker

A federal judge last week denied a broker's effort to stop Finra from disciplining him. ....

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Finra 'looks forward' to defending enforcement authority in court

A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s authority. ....

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