FINRA Facts and Trends

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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 appearance at SIFMA, new Reg BI guidance, and the SEC’s approval of further changes to the expungement process. Read about these issues, along with notable enforcement actions and regulatory notices.