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August, 2021

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FINRA Targeted Exam Letter on Options Accounts

Burr Forman

AUGUST 18, 2021

The Financial Industry Regulatory Authority (“FINRA”) recently kicked off a “sweep” examination with its August 2021 Targeted Exam Letter on “practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.” Tom is licensed in Tennessee, Texas, and Louisiana.

Trade 52
Trade Retail Financial Institution 52
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FINRA Vendor-Management Guidance: You Can’t Outsource Responsibility

Burr Forman

AUGUST 17, 2021

On August 13, 2021, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 21-29, collecting guidance on outsourcing and vendor management. Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 52
Financial Institution Banks Collections 52
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