Revisit the latest FINRA notices, compliance resources, and news from January 2017.

FINRA’s Monthly Podcast – January 2017

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.

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FINRA’s Monthly Podcast – January 2017

FINRA’s Monthly Podcast – January 2017

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