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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

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

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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
Lawyers Enlist State Regulators in Fight to Stop Brokers From Erasing Complaints

Podcasts

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

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Ex-Broker Who Used Client Funds to Pay Taxes, Buy Race Car Items Gets 10-Year Sentence
Citadel Securities, ASA Sue SEC Over CAT
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