[authors: Robert S. Frenchman, Julian Rainero, and David S. Sieradzki. The Financial Industry Regulatory Authority (FINRA) has adopted amendments to its new member application (Form NMA) and has also ...
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FINRA recently amended its rules in order to strengthen its tools to respond to brokers with a significant history of misconduct and the firms that employ them. The amended rules include FINRA’s ...
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