Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: ODA

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FINRA Examiners Are Like A Box Of Chocolates . . .

Posted in Examination, examiners, FINRA, ODA
Michael discusses the differences in examiners — and, potentially — examination results from District Office to District Office.  Remember, however, that such differences aren’t supposed to exist!  That’s why the Office of Disciplinary Affairs exists.  I suppose the question is whether the ODA is doing its appointed task of achieving consistency throughout FINRA. – Alan My… Continue Reading
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