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FINRA 2021 Exam Results and Priorities

Burr Forman

FEBRUARY 2, 2021

On February 1, 2021, the Financial Industry Regulatory Authority (“FINRA”) released its “Report on FINRA’s Risk Monitoring and Examination Activities.” Outside Business Activities risks notes reporting obligations in connection with Registered Representatives who take PPP loans. China), together with microcap and SPAC risks.

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Financial Institution Trade Loans

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