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2023: Slightly more representatives and much fewer enforcement actions.
New roles at the agency show an emphasis on enforcement resources and skill sets.
Action arises from an anonymous complaint about the OBA’s advertising.
New non-branch location will be subject to more stringent conditions and safeguards to ensure adequate continuing investor protection.
Move seeks to further restrict a broker’s ability to borrow from or lend money to clients under FINRA rules.
Trade association assesses market trends while regulator pulls together guidance on Reg BI.
A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.