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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.

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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

Podcasts

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Oppenheimer Ordered to Pay Another $14M Over Ponzi Scheme
Merrill to Pay $1.4M Over Cold Calling
BrokerCheck to Show Problem Firms' 'Restricted' Status
Ex-Morgan Stanley, Schwab Broker Arrested on Child Porn Charges
FINRA's Expungement Rules Just Got Tougher