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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 Moves to Allow Performance Projections in Some BD Marketing
Baird to Pay $519K Over Excessive Mutual Fund Sales Charges
Lawyers Enlist State Regulators in Fight to Stop Brokers From Erasing Complaints
Ex-Broker Who Used Client Funds to Pay Taxes, Buy Race Car Items Gets 10-Year Sentence
Citadel Securities, ASA Sue SEC Over CAT

Podcasts

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FINRA's Cook: 'Mission Accomplished' With CAT Database
FINRA Files to Limit Non-Lawyers' Work on Arb Cases
900 Individuals Returned to Industry Using FINRA Continuing Ed Program
FINRA Fines Former LPL Rep for Faking 30 Clients’ Signatures
Fidelity Fined $1.7M for Lax Approval of Options Traders