www.findknowdo.com/news/11/17/2020/finra-proposes-additional-obligations-firms-history-misconduct?utm
Update:
www.findknowdo.com/news/08/02/2021/sec-adopts-rule-imposing-additional-finra-obligations-firms-history-misconduct?utm
mco.mycomplianceoffice.com/blog/large-financial-firms-conduct-oversight?utm_campaign=Content%20Amplification%20-%20Lexology%20&utm
Home » Regulatory » US: FINRA proposes additional Obligations for Firms with a History of Misconduct