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Finra used 2020 fines to bolster market surveillance, exams, enforcement

Finra spent $90.2 million of fines in 2020 to improve its monitoring of market activity and bolster examination and enforcement programs. ....

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Grandma Moses painting is the centerpiece of Everard's June 8-9 Spring Fine & Decorative Art Auction

SAVANNAH, Ga. – Those who have always yearned to own an original Grandma Moses oil painting will have the rare opportunity to make that happen when Everard Auctions presents the revered . ....

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Work on £30million hotel resort in Deeside could start this year

Developers behind a masterplan to build a £30million five-star hotel in Deeside have unveiled a new vision for the luxury development. ....

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FINRA's diversity and inclusion efforts | Eversheds Sutherland (US) LLP

FINRA has recently taken steps to advance diversity and inclusion in the broker-dealer industry.
Regulatory Notice 21-17
On April 29, 2021, FINRA issued Regulatory Notice 21-17, seeking comments on supporting diversity and inclusion in the broker-dealer industry.
1 FINRA stated that it is committed to supporting efforts by the industry to foster diversity, inclusion and equal opportunity. The request for comment noted that regulatory agencies such as FINRA have an opportunity to evaluate how their rules and actions may have unintended disparate impacts on those within the industries they regulate and how they may unintentionally impede diversity and inclusion. It enumerated various initiatives FINRA has undertaken to foster greater diversity, inclusion and equal opportunity, including establishing an internal Racial Justice Task Force, hosting an Annual Diversity Summit, creating diversity-focused programming at the FINRA Annual Conference, expanding eligibility for t ....

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FINRA Planning to Hike Fees in 2022

FINRA Planning to Hike Fees in 2022
The regulatory agency said member firms should see fees increase starting next year, even as the number of registered reps continues to decline.
FINRA executives said the firm expects to report a financial loss from operations for the current year, and will gradually raise fees on member firms starting next year, according to reports released by the agency last Friday
In addition to the budget
summary, FINRA released its
annual industry snapshot, which showed the total number of FINRA-registered representatives continued its steady decline in 2020.
FINRA s annual operating revenues are projected to be $924.2 million in 2021, a decrease from 2020. FINRA says higher trading volumes and a larger number of public offerings boosted revenue in 2020. ....

Eileen Murphy , Robert Cook , ஐலீந் மர்பி , ராபர்ட் சமைக்கவும் ,