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Articles Posted in FINRA Rule 2111

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FINRA Investigating Newest Puerto Rico Issuance of Municipal Bonds

On March 21, 2014, The Financial Industry Regulatory Authority (FINRA) announced that it is investigating trading in Puerto Rico, examining secondary trades in Puerto Rico’s blockbuster $3.5 billion bond deal. FINRA is looking at possible violations of rules requiring minimum sales of $100,000. The greatest concern is that the bonds…

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