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FINRA is exploring amendments to its short interest program to improve regulatory and public utility
SEC needs lots more hands and a 'cultural change,' author says
'The SEC never had the right expertise on the case and chased the wrong rabbit'
FINRA flags 21 common marketing methods it is seeing in advertising reviews
FINRA conducted reviews of over 63,000 broker-dealer communications filings
Last year, there were 3,435 FINRA-registered broker-dealers, a 2% decline from the prior year
FINRA says new rules seek 'balance' between investor protection, defamation
FINRA seeks feedback on diversity issues by the end of June
Fraud committed against firms and their clients "at a much larger scale than ever before"
RCW has obtained a copy of a recent FINRA document request letter for an exam that focused largely on Regulation Best Interest