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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 Tried to Ban Firm for 60,000% Fee Hike. It's Fighting Back.
BofA Securities Hit With $24M FINRA Fine for Spoofing
FINRA Fines Ex-Morgan Stanley Employee for Using Cell Phone During Series 7 Exam
FINRA Fines TD Private Client Wealth for Email Review Failures
FINRA Bars Broker Over Reg BI Violations

Podcasts

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Ex-Advisor Accused of Churning Retired Couple’s Portfolio
Ex-Advisor Solicited Client Money for Film Business, Regulators Say
SEC OKs New FINRA Rules for Home Offices, Remote Inspections
FINRA Moves to Allow Performance Projections in Some BD Marketing
Baird to Pay $519K Over Excessive Mutual Fund Sales Charges