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FINRA Proposes to Permit Remote Inspections of “Qualifying Offices”

In Regulatory Notice 17-38 (Regulatory Notice), the Financial Industry Regulatory Authority (FINRA) requests comments on a proposal (Proposal) to amend FINRA’s Conduct Rule 3110 (Supervision). ...more

SEC and FDIC Propose Dodd-Frank Broker-Dealer Resolution Rules

Troubled financial institutions, some with substantial broker dealer operations, played a prominent role in the 2008 financial crisis. In an effort to protect the financial system from serious threats posed by significant...more

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