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self-regulation
News
FINRA Is Doing A Whole Lot Less FINRAing These Days
The fines are down 70 percent, but the fun is way way up.
By Owen Davis
News
CFTC To Outsource Regulation To Companies It Regulates
Let’s be friends, guys!
By Jon Shazar
News
Self-Regulatory Agency Asks Brokerages To Regulate Themselves—Or Else
By Jon Shazar
News
CBOE's Commitment To Customer Service Did Not Quite Extend To Getting The SEC To "Back Off" Fraud Investigation
By Matt Levine
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