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  • This is the case with the rules adopted and enforced by FINRA and other self-regulatory organizations, which ???are grounded in concepts of ethics, professionalism, fair dealing, and just and equitable principles of trade,??? giving the SROs authority to reach conduct that may not rise to the level of fraud.6 This has empowered FINRA and other SROs to, for example, not require proof of scienter to
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