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05/27/2021
8 top enforcement trends FINRA's watching now
Benefits Pro
Members of the Financial Industry Regulatory Authority Enforcement team discussed multiple enforcement trends during a recent session at the online FINRA Annual Conference. “You’re still seeing lying, cheating, stealing,” according to Terrence Bohan, vice president of investigations for FINRA Enforcement.
The only difference is that the brokers who are engaging in that kind of behavior have found different ways to accomplish their goals, he noted.
Here are eight trends that FINRA is seeing:
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