Updated Thursday, July 24, 2014 as of 8:25 AM ET
Practice - Regulatory/Compliance
FINRA Looks to Ease Burden on Small Firms
Friday, May 30, 2014
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WASHINGTON -- A top official with FINRA's regulatory division says she appreciates the compliance challenges that firms -- particularly small ones -- are facing, and looks ahead to a more flexible oversight regime that will be less of a drain on a practice's resources.

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