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FinReg + Policy Watch
July 23, 2021

FINRA Adds Continuing Membership Application Requirement to Address Brokers With a History of Misconduct

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.  Firms must comply with the changes by September 1, 2021.  Our recent Client Alert covers this rule change in greater detail.

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