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Update on FINRA's Use of CAT Data – They Are "Just Scratching the Surface" | McGuireWoods LLP

Published: May 22, 2023

During FINRA’s 2023 Annual Conference held on May 16-18, 2023, several panels provided insight into how FINRA is currently using CAT data for market surveillance and how FINRA plans to...

Source: jdsupra.com

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Transparency ServicesMarket Regulation DepartmentStephanie DumontGene DemaioOptions Regulation SectionRegulation Department