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The advisory is aimed at assisting firms in better understanding ransomware tactics, techniques and procedures
The comment period for the SEC's swaps proposal has now been extended to August 21
FINRA proposes to faciliate centralized access to broker-dealers' order execution quality reports for NMS stocks
'Draconian' rules handicap DeSantis, Burgum
The SRO conducts about 1,000 exams each year and executes "several thousand" more cause exams annually
Liquidity stress testing, contingent funding plans, and the maintenance of sufficient liquidity are among proposed requirements
Fines issued by the SRO last year were down a whopping 47% compared to the prior year, report says
Firm overstated projected yield and projected annual income for nine money market funds on 8.5 million account statements
The number of brokerage firms has declined 7% over the past five years
FINRA seeks input on SRO's rules, operations and processes that most directly apply to capital raising