FINRA 2019 exam priorities
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  • FINRA’s 2019 Exam Priorities

    FINRA exam priorities

    January 25, 2019 Comments (0) Blog, Securities Fraud

    FINRA warns about online platforms and other issues affecting investors The Financial Industry Regulatory Authority (FINRA) is a not-for-profit organization authorized by Congress to protect America’s investors by making sure the broker-dealer industry operates fairly and honestly. In FINRA’s most recent annual

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