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Court Limits FINRA's Power to Expel Brokerages
News November 22, 2024 at 03:34 PM
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What You Need To Know
- The SEC must weigh in before FINRA can cast out one of its members, according to a court of appeals.
- The case centers on FINRA's attempt to ban Alpine Securities Corp. from the brokerage industry.
- It threatens to upend a self-regulatory model used by resource-constrained federal watchdogs.
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