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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement,...
Welcome to the latest issue of Bracewell's FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement...
In first disciplinary action under Reg BI, FINRA fined broker $5,000, issued a six-month suspension from allegations broker engaged in excessive trading for outsized commissions. FINRA released Regulatory Notice 22-20 changing Sanctions Guidelines.
FINRA’s Office of Hearing Officers recently rendered a decision on an issue of first impression in Dep’t of Enforcement v. NYPPEX, LLC, et al., (Disc. Proc. No. 2019064813801). ...
May 3, 2022 – The frequency of viral outbreaks and pandemics in the last two decades, including the current COVID-19 pandemic, has focussed attention on Canada’s lack of preparedness, vaccine supply shortages and production self-sufficiency.