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Tag: Financial Industry Regulatory Authority

FINRA Rule 2111 Suitability, featured by top securities fraud attorneys, the White Law Group

Blog, Current Investigations

March 23, 2023

FINRA Rule 2111 Suitability 

What is FINRA Rule 2111 Suitability?   FINRA Rule 2111 Suitability is a regulation established by the Financial Industry Regulatory...

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FINRA Rule 3270 Outside Business Activities featured by top securities fraud attorneys, the White Law Group

Blog

March 23, 2023

FINRA Rule 3270 Outside Business Activities 

What is FINRA Rule 3270 Outside Business Activities? The Financial Industry Regulatory Authority (FINRA), the regulator that oversees...

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FINRA Rule 2010, featured by top securities fraud attorneys, the White Law Group

Blog

March 21, 2023

FINRA Rule 2010 

What is FINRA Rule 2010? The Financial Industry Regulatory Authority (FINRA) sets and enforces rules, such as Rule 2010, that govern the...

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FINRA

Blog, Securities Fraud

February 17, 2023

What is FINRA? The Financial Industry Regulatory Authority

 The Financial Industry Regulatory Authority (FINRA) FINRA, or the Financial Industry Regulatory Authority, is private corporation that...

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FINRA may Tighten Senior Exploitation Rule, featured by top securities fraud attorneys, The White Law Group

Blog, Securities Fraud

October 15, 2020

FINRA may Tighten Senior Exploitation Rule 

The Financial Industry Regulatory Authority’s revised rule would extend a temporary hold on accounts to protect Seniors. According to...

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Blog, Securities Fraud

November 20, 2013

Overview of Securities Regulators

Securities regulation is intended to protect all participates in the securities market. This includes investors as well as financial...

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