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CONSULTATION CONCLUSIONS THE REVIEW OF THE …
www.hkex.com.hk5 EXECUTIVE SUMMARY 1. This paper presents the results of the consultation conducted by SEHK on proposed reform to GEM and changes to the GEM and Main Board Listing Rules.
18-16 - finra.org
www.finra.orgSummary FINRA seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of