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Call for FINRA to Update Document-Request Rules Draws Scrutiny
News July 08, 2026 at 04:31 PM
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What You Need To Know
- The outside report was penned by Troy Paredes, a former SEC commissioner and Paul Eckert, a law professor.
- PIABA's Michael Bixby says the recommendations could "make it much easier for powerful brokerage firms to overwhelm and nit-pick legitimate enforcement efforts."
- Robert Cook said FINRA is "committed to drawing on these recommendations to strengthen our enforcement program."
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