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Disciplinary Information |
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. This page includes enforcement actions, selected decisions and orders, and other related disciplinary process information.
- Hearing Officer Decisions
- Monthly Enforcement Actions
- National Adjudicatory Council (NAC) Disciplinary Decisions
- Statutory Disqualification Decisions/Proceedings
- Disciplinary Information
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