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FINRA To Tweak Some Off-Channel Supervision Obligations

By Sarah Jarvis ( May 9, 2025, 9:19 PM EDT) -- The Financial Industry Regulatory Authority has said it will modify the supervision plans undertaken by some firms that signed U.S. Securities and Exchange Commission settlements over their failure to keep records of so-called off-channel communications, after the SEC refused to redo some deals reached before 2025....

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