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FINRA Regulations July 2022 Updates: Arbitration, Reg BI and More

Published: July 26, 2022

U.S. Securities and Exchange Commission complaint provides a preview of what future Reg BI suits might entail and pursues individual registered representatives for Reg BI violation. FINRA reports on use of fine money, and updates on arbitrator selection Process

Source: natlawreview.com

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