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Finra Probes Broker-Dealers as Regulators Target Pump-and-Dumps

Summary by Bloomberg
The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.

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Finra Probes Broker-Dealers as Regulators Target Pump-and-Dumps

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.

·United States
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Financial PlanningFinancial Planning

FINRA probes broker-dealers as regulators target pump-and-dumps

The Financial Industry Regulatory Authority is probing broker-dealer firms involved in taking small foreign companies public, the latest effort by a regulator to crack down on pump-and-dump schemes.

Read Full Article
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Bloomberg broke the news in United States on Thursday, October 23, 2025.
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