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Pursuing a FINRA360 retrospective evaluation of regulations regarding registered Reps’ outdoors enterprise activities and personal securities transactions, FINRA’s Board of Governors approved the publication of a Regulatory Observe looking for comment on a proposal that would cut back pointless burdens when protecting potent investor protections.
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Also, at the conclusion of every single exam session, descriptive studies custom made to each exam taker are displayed, along with a color pie chart depicting that particular exam taker's weaknesses.
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In November 2015, FINRA issued Regulatory See fifteen-46, which reiterated that merely getting the ideal bid or most effective supply may not satisfy a organization’s most effective execution obligation when routing purchase flow for automated execution, or internally executing such purchase flow, particularly for little official website orders.
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