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Consolidated Audit Trail
Republican AGs Wade Into CAT Fightjdsupra.com- FINRA Facts and Trends: January 2024jdsupra.com
- FINRA report covers new topics including cryptoassetsjdsupra.com
- FINRA Issues 2024 Annual Regulatory Oversight Reportjdsupra.com
- FINRA’s 2024 Annual Regulatory Oversight Report: Select Observationsjdsupra.com
- FINRA Settles First Significant CAT Reporting Enforcement Actionjdsupra.com
- FINRA Continues to Prioritize Compliance with CAT Reportingjdsupra.com
‘Shadow trading’ ETFsFinancial Times- New Year’s Priorities: FINRA Releases its 2023 Report on its Examination and Risk Monitoring Programjdsupra.com
- FINRA 2023 Examination and Risk Monitoring Report Highlights Numerous Risk Areas for Brokersjdsupra.com
- FINRA Issues 2023 Report on Examination and Risk Monitoring Programjdsupra.com
Phantom surge in Berkshire trading caused by brokers such as RobinhoodNZ Herald- FINRA Issues 2022 Report on Examination and Risk Monitoring Programjdsupra.com
- Former FINRA enforcement chief says Reg BI brings new compliance liabilityjdsupra.com
- FINRA Publishes New Annual Report on FINRA’s Examination and Risk Monitoring Programjdsupra.com
- FINRA Publishes 2021 Enforcement Priorities and Exam Findings Reportjdsupra.com
SEC Addresses Cybersecurity Concerns About Stock-Investor Datawsj.com- SEC Urges Exchanges to End Standoff on Trading Datawsj.com
- BSEC May Soften Stance on U.S. Trading Database, SIFMA Saysbloomberg.com
- SEC Rejects Exchanges’ Request to Delay Surveillance Databasewsj.com
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