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FINRA looks to ease some firms' off-channel settlement burdens

Summary by Financial Planning
Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.
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FINRA looks to ease some firms' off-channel settlement burdens

Regulators say they are seeking fairness, noting that firms that reached deals with the SEC before the start of the year are under fewer regulatory mandates.

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Financial Planning broke the news in on Monday, May 12, 2025.
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