Bayard Dodge

Bayard Dodge

Dechert LLP

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FINRA Seeks Comments on its Engagement Programs

The Financial Industry Regulatory Authority (FINRA), on March 21, 2017, published a Special Notice soliciting comments on various existing FINRA engagement programs (Notice). This request for comment is one component of...more

4/1/2017  /  Advisory Committee , Broker-Dealer , Comment Period , Compliance , Financial Industry Regulatory Authority (FINRA) , Investment Adviser , Securities and Exchange Commission (SEC) , Stakeholder Engagement , Transparency
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