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Regulation and Compliance > Federal Regulation

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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Raymond James to Pay Nearly $2M for Failure to Report Complaints, Mutual Fund Transactions
Merrill Fined $3M Over 'Deficient' Trade Surveillance
Sen. Warren Presses FINRA to Explain Enforcement Decline
Barclays to Pay Nearly $1.3M Over Fingerprint Failures
Ex-Broker Barred After Refusing to Respond to FINRA Probe

Podcasts

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FINRA Bars Ex-Broker Probed Over Mutual Fund Suggestions
American Portfolios Agrees to $225K FINRA Fine
BD Fined for WSPs With No Mention of Reg BI
Dropbox Co-Founder Claims JPMorgan Advisor Cost Him Over $225M
BD to Pay $1.5M Over Excessive Trading by Reps: FINRA