Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

Stockbroker Law - Tuesday, June 12, 2012
Securities Exchange Commission Requests that Brokers Make Suspicious Activity Reports Available to FINRA

In Regulatory Notice 12-08 (http://www.finra.org/Industry/Regulation/Notices/2012/P125588), effective January 26, 2012, the Financial Industry Reg ..

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FINRA Issues Customer Account Protection Regulatory Notice to Protect Customer Monies from E-Mail Instruction-Related Theft

Stockbroker Law - Tuesday, June 12, 2012
FINRA Issues Customer Account Protection Regulatory Notice to Protect Customer Monies from E-Mail Instruction-Related Theft

In Regulatory Notice 12-05 (http://www.finra.org/web/groups/industry/@ip/@reg/@notice/documents/notices/p125462.pdf), the Financial Industry Regul ..

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