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Regulation and Compliance > State Regulation & Compliance

Texas Financial Regulation

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

Webcasts

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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

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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