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: The BLT: The Blog of Legal Times

FINRA Soft on Enforcement Under Schapiro, Report Finds

By Marisa McQuilken

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An analysis conducted out of Sutherland Asbill & Brennan?s Washington office shows the Financial Industry Regulatory Authority?the independent securities regulator that shares some authority with the Securities and Exchange Commission?was light on enforcement in 2008, similar to its public sector...

Full post as published by The BLT: The Blog of Legal Times on June 04, 2009 (boomark / email).

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