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Tag: FINRA regulations

December 14, 2018

FINRA Examination Findings: Failure of Oversight in Firms

FINRA Examination Findings: firms need to tighten up supervisory systems. Last Friday, the Financial Industry Regulatory Authority...

Blog, Securities Fraud Articles

October 17, 2011

FINRA Proposes More Disclosure for Private Placement Offerings

According to canadiansecuritieslaw.com the Financial Industry Regulatory Authority (FINRA) recently “published proposed amendments to its...

Regulators Require Disclosure Regarding Customer Complaints featured by top securities fraud attorneys, the White Law Group

Blog, Securities Fraud Articles

May 20, 2009

Brokers must Disclose Customer Complaints

Regulators Require Brokerage Firms to Provide More Public Disclosure Regarding Customer Complaints On May 13, 2009, the U.S. Securities and...

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