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News and Alerts >
Regulatory Notice – 12/17/14
FINRA Reminds Firms of Extended Hours Trading Disclosures
News Release – 12/16/14
FINRA Fines Merrill Lynch $1.9 Million and Orders Restitution of $540,000 for Fair Pricing Violation
News Release – 12/11/14
FINRA Fines 10 Firms a Total of $43.5 Million
News Release – 12/10/14
FINRA Names New Floor Member Governor
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