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Texas Financial Regulation

Get the latest news and insights on financial regulations, enforcement actions and litigation in Texas.

Webcasts

Attend free webcasts to get the info you need to solve business challenges!

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UBS Must Pay Clients $3.9M Over YES Options Strategy
FINRA Upholds Bar of Ex-Broker Caught Cheating on Series 24 Exam
Ex-Broker Charged With Murdering Client May Also Face FINRA Sanctions
2 More States Adopt Commission-Friendly Annuity Sales Rules
Ex-Advisor Gets 3 Life Sentences for Bilking Senior Churchgoers in Texas

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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States Move to Probe GameStop Trading, Brokerage Issues
Texas Broker Charged With Child Sexual Assault, Indecency
50 States of Latest Government COVID-19 Pandemic Intensity Data
LPL Eyes Midwest Base With Waddell & Reed Deal