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Supervisory Guidance Enforcement Actions Broker-Dealer

UB Greensfelder LLP

Another Fine Churning Mess

UB Greensfelder LLP on

While undoubtedly FINRA will be issuing its annual “examination priorities” letter any day now, that is hardly the best way to figure out exactly what FINRA is paying attention to now (as that letter kind of reads the same,...more

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