Daily Archives: May 18, 2017, 11:28 am

FINRA Considering Merging Enforcement Programs, Cook Says | Bloomberg BNA

The Financial Industry Regulatory Authority is considering combining two of its enforcement programs to better streamline its processes. Currently, FINRA has two separate enforcement programs, one in its member regulation group, which focuses on member firms and their employees, and another in its market regulation group, which oversees over-the-counter trading. “We are one team, and all of us are responsible…

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