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Date Last Verified
Years of Experience
The Enforcement Counsel resolves non-complex Enforcement matters, and contributes meaningful high quality work for large complex matters.
Essential Job Functions:
(FINRA) is a private corporation that acts as a self-regulatory organization (SRO). FINRA is the successor to the National Association of Securities Dealers, Inc. (NASD) and the member regulation, enforcement, and arbitration operations of the New York Stock Exchange.