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FINRA Fines Firm For Letting Execs Supervise Themselves

By Emilie Ruscoe ( April 9, 2026, 7:49 PM EDT) -- A small broker-dealer will pay the Financial Industry Regulatory Authority $125,000 to end claims including that it allowed certain principals to handle supervisory reviews of their own electronic communications, running afoul of its record review obligations for about seven years....

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