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FINRA Authority Fight Carries Weight But May Be a ‘Hard Ask’

October 11, 2023

…But even if it’s not a state actor, there are problems with the SEC’s supervision of FINRA, said Russ Ryan of the New Civil Liberties Alliance in Washington, which submitted an amicus brief supporting Alpine. The brief said the SEC’s supervisory role in enforcement matters wasn’t close or meaningful…


Originally Published in Bloomberg Law