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Despite Rule Change, FINRA’s BrokerCheck Tags No ‘Restricted’ Firms?
Despite Rule Change, FINRA’s BrokerCheck Tags No ‘Restricted’ Firms?
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peifferwolf By peifferwolf
 - 
June 20, 2024
Despite Rule Change, FINRA’s BrokerCheck Tags No ‘Restricted’ Firms?

Nine months after FINRA began a process to publicly label firms as ‘restricted’ if they or their brokers had a…