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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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FINRA Bars Ex-Northwestern Mutual Rep Accused of Cheating on CFP Exam
Ex-J.P. Morgan Broker Barred by FINRA After Multiple Trading Violations
FINRA Launches Targeted Exam of BDs' Crypto Asset Communications
Jury Convicts Ex-Broker Who Lived Lavish Lifestyle Instead of Paying Taxes
FINRA Bars Ex-Morgan Stanley Rep Who Steered Clients to Outside Investments

Podcasts

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Ex-Broker Pleads Guilty To Stealing $500K From Clients
More Reg BI Cases in the Pipeline, FINRA Chief Warns
Graying Brokerage Industry Prompts Need for Succession Plans: FINRA
Barred Broker Sentenced to 5 Years for Fraud That Shuttered Life Insurance Firm
Penny Pennington Elected to FINRA Board of Governors