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Search Results For: finra
Finra extends brokerage office remote inspections into 2022
Ruppert to succeed Havlik as Finra’s supervision chief
Pierce wins small-firm seat on Finra board
Finra fines former LPL rep over forged signatures for annuities
Candidates for small-firm Finra board seat target regulatory burden
Finra targets options trading in latest exam sweep
SEC approves Finra rule to rein in rogue brokerages
Robinhood under investigation by Finra ahead of IPO
By casting a wide net, Finra hinders diversity
Finra CEO wants to extend remote branch office inspections into 2022
Finra arbitrators order Pershing to pay $648,543 to Stanford Ponzi victims
Robinhood to pay record $70 million in Finra settlement
Finra should review Form U4 to help industry diversity: Robinhood
Finra records $19.8 million profit in 2020
Merrill Lynch hit with $11.65 million penalty by Finra
Finra proposes annual regulatory education
Bob Doll’s big move and a look at Finra and the SEC
Finra resumes in-person arbitration nationwide
Finra used 2020 fines to bolster market surveillance, exams, enforcement
Finra withdraws expungement reform proposal
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