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Expert Analysis

Here's Looking At FINRA 'Extraordinary Cooperation': Part 2

By Brian Rubin, Adam Pollet, Leo Kogan and Sarah Sallis (July 25, 2019, 2:43 PM EDT) -- On July 11, 2019, the Financial Industry Regulatory Authority released Regulatory Notice 19-23, providing new guidance on what constitutes "extraordinary cooperation" in FINRA investigations, and what credit would be given in determining the level of sanctions imposed or disciplinary action taken for violations....

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