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Expert Analysis

Spotlight On FINRA Rule 4530

Law360 (March 10, 2011, 2:00 PM EST) -- The U.S. Securities and Exchange Commission has approved the new Financial Industry Regulatory Authority Rule 4530[1] that, after it takes effect, will be a key governing rule concerning the reporting of violations and complaints to FINRA. Any matter that becomes subject to reporting or filing on or after July 1, 2011 must be reported or filed in accordance with the requirements of new FINRA Rule 4530.[2]...

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