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Capital Market Insights

FINRA Publishes First Annual Industry Snapshot

Regulation and Compliance

Fostering Innovation One Year Later

Regulation and Compliance

One Enforcement: Introducing FINRA’s New Enforcement Team

Regulation and Compliance

May 2018 Board Update

Market Safety

Opportunities and Risks in Data Aggregation

Investor Resources

FINRA’s Senior Helpline: Addressing the Unique Needs of Senior Investors

Financial Advisor Talking To Senior Couple At Home
Investor Resources

Protecting Seniors From Financial Exploitation

Regulation and Compliance

FINRA360 Progress Report

Investor Resources

Three-year Anniversary of FINRA Securities Helpline for Seniors Marked by Investor Success

Regulation and Compliance

FINRA Fines Aegis Capital Corp. $550,000 for Anti-Money Laundering and Supervision Rule Violations

Thoughtful Middle aged Man With Smartphone in Cafe
Investor Resources

Watch Out for These 4 Behaviors by Your Financial Professional

Regulation and Compliance

March 2018 Board Update