FINRA Regulation

We have an extensive background in FINRA rules and regulations including the review of compliance policy and procedure manuals from bulge-bracket, regional, and small broker-dealers all across the country.  Furthermore, we have testified as to compliance and supervision rules and practice in over 20 matters, including a regulatory matter on behalf of the FINRA Department of Enforcement.


FINRA Regulation Experts

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Posted on July 30, 2012 in Securities and Regulation

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