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FINRA Facts and Trends - October 2022 | Bracewell LLP

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,.

New-york , United-states , Boca-raton , Florida , Laurence-allen , Michael-schunk , Charles-malico , National-adjudicatory-council , Office-of-hearing-officers , Department-of-enforcement , Securities-exchange , Resolution-services

FINRA Facts And Trends: October 2022 - Financial Services

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.

New-york , United-states , Florida , Laurence-allen , Michael-schunk , Charles-malico , National-adjudicatory-council , Office-of-hearing-officers , Department-of-enforcement , Securities-exchange , Resolution-services , Research-analysts

FINRA Developments October 2022

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.

New-york , United-states , Boca-raton , Florida , Laurence-allen , Michael-schunk , Charles-malico , National-adjudicatory-council , Office-of-hearing-officers , Department-of-enforcement , Securities-exchange , Resolution-services

FINRA Rules Ex Parte Temporary Restraining Order Results In Statutory Disqualification | Herskovits PLLC

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). .

New-york , United-states , State-of-new-york , Laurence-allen , Michael-schunk , Supreme-court , Finra-office-of-hearing-officers , Office-of-the-attorney , York-supreme-court , Hearing-officers , Attorney-general , General-business-law

Vaccines for the Next Pandemic: A Prescription for Canada

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.

Australia , Canada , United-kingdom , Toronto , Ontario , Van-exan , Paul-grootendorst , Lauren-malyk , Michael-schunk , Javad-moradpour , Robert-van-exan , University-of-toronto

NYPPEX Celebrates 1,850th Private Equity Transaction

/PRNewswire/ NYPPEX, one of the world s leading providers of secondary private equity data and liquidity, today celebrated its 1,850th private equity.

United-states , Jeremy-kim , Michael-schunk , Us-internal-revenue-service , Matching-service , Revenue-service , Qualified-matching-service , Internal-revenue-code , Nyppex-private-markets ,