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Court Ruling Hamstrings FINRA's Regulatory Power
A D.C. Court of Appeals ruling requires SEC approval for FINRA expulsions, impacting 628,000 brokers and 3,300 firms, and stemming from a constitutional challenge to FINRA's authority; the decision's long-term effects are uncertain given the incoming administration's deregulation agenda.
Court Ruling Hamstrings FINRA's Regulatory Power
A D.C. Court of Appeals ruling requires SEC approval for FINRA expulsions, impacting 628,000 brokers and 3,300 firms, and stemming from a constitutional challenge to FINRA's authority; the decision's long-term effects are uncertain given the incoming administration's deregulation agenda.
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