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Tuesday, September 8, 2026The Morning Brief →Sign in
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Brad Sherman

In PWD coverage since September 8, 2026 · 1 story
PWD coverage
practice

FINRA Pulls Bulk Enforcement Data, Keeping Vetting in Search Box

A downloadable FINRA enforcement file appeared in August, then vanished after reporter questions, leaving broker-dealer and recruit vetting dependent on the regulator's search box.
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