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Is FINRA Set to Be the Big New Regulator on the Block?
FINRA seeks greater regulatory responsibilities for Wall Street institutions.
Finra’s Richard Ketchum Seeks Greater Power Over Wall Street
Finra seeks to replace SEC as top enforcer of investment advisers.
Finra’s Susan Merrill to Join Bingham McCutchen in New York
Finra’s head of enforcement joining Bingham in New York.
Finra Enforcement Chief Merrill to Step Down
Susan Merrill announces she is stepping down as head of enforcement.
Two Finra Merger Cases Dismissed
Judge Rakoff cites absolute immunity of NASD in its regulatory function.
FINRA Lays Off Five Senior Enforcement Officials
FINRA lays off five senior enforcement officials as part of recent management restructuring.
FINRA Issues Guidance on Blogs and Social Networking
FINRA guidance covers internal policies and procedures for blogging and social networking.
FINRA: How Well Do You Know Your Cleaning Crew?
Are examination questions inspired by movie “Wall Street?”
FOX Business: Will FINRA Make Madoff Report Public?
Decision from FINRA on Madoff report expected this week.