FINRA Rule 4511
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FINRA disciplinary action update 2024/43
Disciplinary decisions issued November 2 – 8, 2024.
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FINRA disciplinary action update 2024/42
Disciplinary decisions issued October 26 – November 1, 2024.
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FINRA disciplinary action update 2024/40
Disciplinary decisions issued October 12 – 18, 2024.
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FINRA disciplinary action update 2024/39
Disciplinary decisions issued October 5 – 11, 2024.
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FINRA disciplinary action update 2024/38
Disciplinary decisions issued September 28 – October 4, 2024.
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FINRA disciplinary action update 2024/35
Disciplinary decisions issued September 7 – 13, 2024.
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FINRA disciplinary action update 2024/33
Disciplinary decisions issued August 17 – 23, 2024.
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FINRA settles with Barclays Capital over fingerprinting, screening issues
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.