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Strategic Intelligence is a team within FINRA’s Risk & Intelligence organization that provides strategic and tactical intelligence impacting member firms, investors, and the financial markets, translating into better, more informed, and timely regulatory decisions. The Strategic
With limited supervision and guidance, as needed, reviews communications with the public submitted by firms for compliance with FINRA, SEC, MSRB and SIPC advertising rules and regulations. Essential Job Functions: Reviews a full workload consisting of
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