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: Securities Law Prof Blog

FINRA Seeks SEC Approval to Make Pilot Cease & Desist Program Permanent

By Securites Lawprof

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FINRA filed with the SEC a proposed rule change to adopt on a permanent basis the temporary and permanent cease and desist authority pilot program without any substantive changes to the terms of the existing program. In May 2003, the...

Full post as published by Securities Law Prof Blog on June 05, 2009 (boomark / email).

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