FINRA staff give examples of registered representatives’ misconduct, as featured in the January 2017 issue of FINRA's Quarterly Disciplinary Review.

FINRA’s January 2017 Quarterly Disciplinary Review

FINRA Unscripted is the voice of the nation’s largest non-government securities regulator. We bring together FINRA leaders to discuss existing and emerging regulatory topics that impact the broker-dealer industry. We share best practices for compliance officers, insights into the operations of a 3,500 person self-regulated organization and educational tools and information for investors. Every investor in America relies on one thing: fair financial markets. That is what FINRA works every day to ensure.

Share FINRA’s January 2017 Quarterly Disciplinary Review

Sign up to save your podcasts

FINRA’s January 2017 Quarterly Disciplinary Review

FINRA’s January 2017 Quarterly Disciplinary Review

More shows like FINRA Unscripted

Planet Money

Marketplace

WSJ Your Money Briefing

Investing Insights

WSJ Tech News Briefing

Notes on the Week Ahead

The Clark Howard Podcast

The Lazy Genius Podcast

The Daily

Up First from NPR

The Journal.

The Securities Compliance Podcast: Compliance In Context

The Money with Katie Show

UNBIASED Politics

WSJ's Take On the Week