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CBOE Reminds Trading Permit Holders to Notify Exchange of Disciplinary Actions

The Chicago Board Options Exchange (CBOE) issued a Regulatory Circular reminding Trading Permit Holders (TPH) that CBOE Rule 4.9 requires every TPH to notify the CBOE in writing of any disciplinary action taken by other...more

Proposed Change to FINRA Rule Regarding Release of Disciplinary Complaints, Decisions and Other Information

The Financial Industry Regulatory Authority filed a proposed rule change to amend Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. Among other things, amended Rule 8313 would...more

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