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FINRA Publishes 2024 Regulatory Oversight Report

FINRA Publishes 2024 Regulatory Oversight Report
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Washington
United-states
Ornella-bergeron
Michael-solomon
Greg-ruppert
Claire-osullivan
Omer-meisel
Head-of-national
Bank-secrecy
Risk-monitoring-program
Financial-crimes-detection-program
National-market-system

Report From FINRA Board of Governors Meeting – December 2023

Report From FINRA Board of Governors Meeting – December 2023
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Eric-noll
Regional-committee
Financial-crimes-detection-program
National-adjudicatory-council
Risk-monitoring-program
Small-firm-advisory-committee
Board-approves-rule-proposals
Regulatory-oversight
Chair-eric
Regional-committees
Selection-notice
Regulatory-oversight-report

Investment Management Update - November 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

.SEC Adopts Amendments to Fund Names Rule - On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d-1 under the Investmen.

United-states
Florida
New-york
Adam-markovich
Alexandera-ahmadi
Andrewm-middlebrooks
Osman-nawaz
Markt-uyeda
Kristena-daly
Alexandram-koscove
Gary-gensler
Katy-berk

FINRA Promotes Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program

FINRA Promotes Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program
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Greg-ruppert
Enron-task
Exchange-commission
San-diego-division
Intelligence-branch
National-cause-program
Cyber-branch-national-security
Financial-crimes-detection-program
Seniors-team
National-association-of-securities-dealers
Scybersecurity-group
Counterintelligence-branch

FINRA Promotes Omer Meisel To Executive Vice President Of The National Cause And Financial Crimes Detection Program

FINRA Promotes Omer Meisel To Executive Vice President Of The National Cause And Financial Crimes Detection Program
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Greg-ruppert
Omer-meisel
Exchange-commission
San-diego-division
Scybersecurity-group
Enron-task
Seniors-team
Counterintelligence-branch
Financial-crimes-detection-program
National-association-of-securities-dealers
Cyber-branch-national-security
National-cause-program

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