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Under Section 15A(b)(8) of the Securities Exchange Act of 1934, FINRA must provide a fair and impartial procedure for the disciplining of members, and persons associated with members, and the enforcement of FINRA’s rules Visit Office of Hearing Officers | FINRA.org (https://www.finra.org/rules-guidance/adjudication-decisions/office-hearing-officers-oho/about)
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