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FINRA Issues Guidance on Broker-Dealer Funding and Liquidity Risk Management Practices

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November 10, 2010
Client Alert

The Financial Industry Regulatory Authority, Inc. issued Regulatory Notice 10-57 to alert member firms that it expects broker-dealers to develop and maintain robust funding and liquidity risk management practices in preparation of adverse circumstances, including instances where funding necessary to cover a broker-dealer’s operations is unavailable or prohibitively expensive.

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