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Articles Posted in Macquarie Capital

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FINRA News: Regulator Seeks to Restrict Brokers’ Political Contributions, Sends SEC Proposal Regarding Broker-Compensation, and Fines Firm $2.95M Over Inaccurate Blue Sheet Data

The Financial Industry Regulatory Authority (FINRA) is proposing rules that would limit how much in political contributions brokers would be allowed to make to avoid conflicts of interest. FINRA is now calling for feedback during the comment period regarding the proposed rule, which runs for 21 days after notice is…

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