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4 Big FINRA Rule Changes in 2021

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Robert Cook, president and CEO of the Financial Industry Regulatory Authority, said recently that the broker-dealer self-regulator is “focused on updating our rule book to reflect what we’ve learned during COVID” and is mulling an update to its complex product rules.

In 2021, the broker-dealer regulator has adopted new rules intended to crack down on risks posed by broker-dealers with a significant history of misconduct and to impose more stringent continuing education requirements.

See the gallery above for four rules adopted or changed by FINRA in 2021.