FINRA Facts and Trends: November 2022

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Welcome to the latest issue of Bracewell’s FINRA Facts and Trends, a monthly newsletter devoted to condensing and digesting recent FINRA developments in the areas of enforcement, regulation and dispute resolution.  This month, we report on FINRA’s first Regulation BI enforcement action, reveal rare praise from the investors’ bar for FINRA’s arbitration procedures, and outline FINRA’s revised sanctions guidelines.  Read about these issues, along with notable enforcement actions and arbitration decisions.

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