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News Releases

May 18, 2016

FINRA Fines Raymond James $17 Million for Systemic Anti-Money Laundering Compliance Failures
May 13, 2016

FINRA Offers What Investors Should Know about Crowdfunding
May 11, 2016

FINRA Fines Stephens Inc. $900,000 for Inadequate Supervision of Research Department "Flash" Emails
May 5, 2016

Emotions Increase Susceptibility to Fraud in Older Adults: Research from Stanford, FINRA Foundation and AARP
May 3, 2016

FINRA Sanctions MetLife Securities, Inc. $25 Million for Negligent Misrepresentations and Omissions in Connection With Variable Annuity Replacements
April 28, 2016

FINRA Issues First Cross-Market Report Cards Covering Spoofing and Layering
April 27, 2016

FINRA Investor Education Foundation and Filene Research Institute Announce Employer Sponsored Small Dollar Loan Research Collaboration
April 25, 2016

New Data on OTC Equity Trading Now Available, FINRA Announces
April 25, 2016

FINRA Decision Bars James Van Doren for Unethical Conduct; Registered Representative Engaged in Money Laundering and Assisted Friend in Deceiving Creditors
April 20, 2016

FINRA Securities Helpline for Seniors Marks First Year, With $1.3 Million Returned to Investors
April 19, 2016

FINRA Reminds Firms about Obligations Regarding Pension Income Stream Products
April 7, 2016

FINRA Offers What You Need to Know About Required Minimum Distributions in Traditional IRAs
March 31, 2016

How Investors Can Avoid Getting Fooled
March 23, 2016

Power of Attorney and Your Investments: 10 Tips from FINRA
March 21, 2016

FINRA and Nasdaq Fine Wedbush Securities Inc. $675,000 For Supervisory Violations Relating to Chronic Fails to Deliver by a Client in Multiple Exchange-Traded Funds
March 15, 2016

FINRA Reports on Effective Practices for Digital Investment Advice
March 11, 2016

FINRA Evaluates Membership Application Rules
March 1, 2016

FINRA Foundation Military Spouse Fellowship Application Now Open
February 26, 2016

FINRA Approves Enhanced Price Disclosure to Retail Investors in Fixed-Income Securities
February 19, 2016

FINRA Bars Broker for Market Manipulation
February 11, 2016

FINRA Bars Two Brokers for Fraudulent Sales of a Hedge Fund
February 9, 2016

FINRA Warns High-Yield CD Offers Can Be Bait for High-Commission Investments
February 2, 2016

SEC and FINRA to Hold Regional Compliance Outreach Programs for Broker-Dealers
January 5, 2016

FINRA's 2016 Focus: Supervision, Liquidity and Securities Firms' Culture
December 31, 2015

Are Your Investments Ready for the New Year? FINRA Offers 6 Tips for 2016

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