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FINRA Regulation and Compliance

Get the latest news and insights on the Financial Industry Regulatory Authority's rules, enforcement actions and related activities.

Webcasts

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Ex-Edward Jones Rep Fined, Suspended for Texting Client Docs
House Passes Bill to Require Accredited Investor Exam
Here's How FINRA Spent $48M of Fine Money
FINRA Fines 5 Firms for Reg BI, Form CRS Violations
Wells Fargo Rep Made His Friend a Client’s Beneficiary: FINRA

Podcasts

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More Sweeps, Reg BI Cases on the Way
FINRA Plans More Remote Work Rules
Reg BI Is a ‘Work in Progress’: SEC Chief
FINRA Expels Firm Over Reg BI Violations
What the Broker-Dealer Industry Looks Like Now, in 5 Charts