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FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Exemptive relief is granted based on representations that: the contribution pre-dated the contributor’s designation as an MFP; the MFP attempted to obtain a refund of the contribution; the Firm identified the contribution through its supervisory processes during its screening process when Name was being considered for a role that would cause her to be designated as an MFP; and the MFP will be prohibited from soliciting or otherwise being involved in municipal securities business with the City for at least two years from the date of the Contribution.