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- FINRA SETTLEMENT CASTS DOUBT ON PROTOCOL FOR BROKER RECRUITING PROTECTIONS
11 September 2020 - FINRA ISSUES REPORT ON ARTIFICIAL INTELLIGENCE IN THE SECURITIES INDUSTRY
21 July 2020 - THE SEC’s WAR ON 12b-1 FEES
9 June 2020 - FINRA CRUSHES AN ANALYST FOR DISCLOSING PROPRIETARY INFORMATION
14 May 2020 - CALIFORNIA ENDS ABSOLUTE IMMUNITY FOR FORM U5 DEFAMATION CLAIMS
2 May 2020 - FINRA REMINDS FAs THAT NO GOOD DEEDS GO UNPUNISHED
27 April 2020 - FINRA RAMPS-UP CASES FOR UNDISCLOSED OUTSIDE BUSINESS ACTIVITIES AND UNAPPROVED PRIVATE SECURITIES TRANSACTIONS
5 April 2020 - FINRA BARS FA JAMES DAUGHTRY FOR FAILING TO COOPERATE WITH THE REGULATOR
23 March 2020 - RESPONDING TO A SUBPOENA FROM THE CFTC
22 March 2020
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