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Tagged with "Waiver and Consent Settlement"

FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 3

Posted on December 7th, 2016 at 9:17 AM
FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 3

This is the third of three posts to discuss FINRA Rule 9216. 

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FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 1

Posted on December 1st, 2016 at 12:47 PM
FINRA’s Acceptance, Waiver and Consent Settlement (AWC)-Part 1

This is the first of three posts to discuss FINRA Rule 9216. 

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