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Regulatory Updates
Regulatory Update: Brokers Face Personal Liability
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Regulatory Updates
FINRA 2018 Fines Summary for Noncompliance with Recordkeeping and Supervision Obligations
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Regulatory Updates
Regulatory Update: SEC Approves the New “Best Interest” Rules
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Regulatory Updates
Regulatory Update: Musk Settles with SEC; New Supervision Rules for Executives on Social Media
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Regulatory Updates
UK Regulatory Update: Firms Risk Reporting Fines as Regulators Begin to Bite
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Regulatory Updates
Regulatory Update: Supervision Failures Continue To Bite Firms
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Regulatory Updates
Regulatory Update: SEC Targets Robo-advisers' Social Media Violations
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Regulatory Updates
FINRA Issues 2019 Priorities Letter — RegTech Leads Areas of Focus
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Regulatory Updates
Texting and Social Media on SEC Radar
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Regulatory Updates
Regulatory Update: ‘Tis the Season to Archive Everything
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Regulatory Updates
Regulatory Update: FINRA Fines Focus on "Unauthorized Communication Channels"
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Fines for Inaccurate Records and Supervision Violations
Regulatory Update: SEC Fines Citi .5 Million for Inaccurate Records and Supervision Violations
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Regulatory Updates
Regulatory Update: New York Broker-Dealer Fined .25 Million By SEC
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Regulatory Updates
Regulatory Updates: Brokers Fined and Barred for Unsupervised Communications
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Regulatory Updates
Regulatory Updates: Firm fined .3 million for supervision failures
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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.

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Smarsh handles information you submit to Smarsh in accordance with its Privacy Policy. By clicking "submit", you consent to Smarsh processing your information and storing it in accordance with the Privacy Policy and agree to receive communications from Smarsh and its third-party partners regarding products and services that may be of interest to you. You may withdraw your consent at any time by emailing privacy@smarsh.com.