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FINRA Shares Practices Firms Use to Protect Customers from Online Account Takeover Attempts

May 14, 2021

FINRA Dispute Resolution Services to Reopen Most Hearing Locations for In-Person Arbitration and Mediation

May 14, 2021

SEC Division of Investment Management Staff Publishes Public Statement on Funds Registered Under Investment Company Act Investing in Bitcoin Futures Market

May 14, 2021

Consolidated Audit Trail Publishes New Roadmap to Assist Small Firms With Reporting Obligations

May 14, 2021

FINRA Reminds Members About Options Account Approval, Supervision and Margin Requirements

April 16, 2021

FINRA Files With the SEC to Extend Time to Announce the Implementation Schedule for FINRA’s Corporate Bond New Issue Reference Data Service

April 16, 2021

FINRA Publishes Answer to Frequently Asked Questions Under Rule 4521(d) on Margin Balance Reporting

April 16, 2021

NFA Proposes Compliance Rule 2-50 and Related Interpretive Notice

March 12, 2021

SEC Announces 2021 Examination Priorities

March 5, 2021

SEC Announces New Climate and ESG Task Force

March 5, 2021
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