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"We intend to monitor this important investor protection issue and will evaluate whether additional steps may be needed to address recidivist firms and brokers"
The new interpretations impact the net capital rule and the customer protection rule
FINRA will implement changes effective Oct. 1 to its private placement rules
SRO is asking B-Ds to "promptly" notify their risk monitoring analyst about digital assets plans
Feedback sought on younger, novice investors and those not working with a registered investment professional
New FINRA regulatory notice focuses on minimum equity
Online B-D's troubles may just be beginning
SRO expanding its recruiting efforts to ensure attracting candidates with diverse skill sets
Adviser, now under court-appointed monitor, blames expiration of credit facility
FINRA is exploring amendments to its short interest program to improve regulatory and public utility
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