Financial Industry Regulatory Authority (FINRA)

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The Financial Industry Regulatory Authority, Inc. (FINRA) is the largest independent regulator of securities firms doing business with the public in the United States.

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C Suisse brokers score partial victory against the bank

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Dozens of former Credit Suisse advisers who have been fighting for their deferred compensation after leaving the bank last year scored a partial victory on Friday when the brokerage industry’s main regulator said member firms cannot make workers waive their rights to settle disputes in the regulator’s own arbitration forum.

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