FINRA Registration Update - Shared Bookmark
https://www.quadrantregulatory.com/finra-registration-update
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In response to SEC amendments adopted on August 23, 2023, the Financial Industry Regulatory Authority (FINRA) has proposed a short-form membership application process. The SEC amendments made some changes, including removing the gross income exemption, which had previously allowed firms to trade with other broker-dealer firms for their own account.

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