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Search Results For: finra
Bipartisan lawmakers bash Finra
Finra tried to ban firm for 60,000% fee hike. It hasn’t been easy
Online brokers misstep in securities lending: Finra
Finra performance advertising proposal helps it keep pace with SEC marketing rule
Finra in surprise proposal to allow predicted returns in marketing
Finra fines Haywood USA $175,000
State regulators, PIABA back Finra against claim it’s unconstitutional
Finra arbitrators exonerate Raymond James in scam targeting Ecuadorian investors
Judge lets Finra proceed with enforcement action against broker
Finra tags advisor for sales of GPB alternatives
Investors who overestimate their financial acumen pay higher fees, Finra says
Massachusetts, Finra fine Fidelity $1.65 million, alleging lax standards for options trading
Finra asks SEC to extend remote inspections program
State regulators continue to oppose Finra remote supervision pilot program
Barr wades in to join battle to cripple Finra
Finra arbitrators order expelled brokerage to pay $3.2M for excessive trading
Finra fines, censures New Jersey broker-dealer for violating Reg BI
Finra ‘looks forward’ to defending enforcement authority in court
Finra names new head of enforcement
Finra arbitrators order former advisor to pay $664,901 for unsuitable options strategy
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