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FINRA Releases September 2017 Monthly Recap Podcast

FINRA released a podcast summary of FINRA news, regulatory notices and compliance resources from September 2017 (see September 2017 Monthly Recap transcript). Among other things, the podcast highlighted:

FINRA also noted several events and conferences, including three upcoming half-day seminars on anti-money laundering and the 2017 Compliance Outreach Program for Municipal Advisors.

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Regulated Entities: 
Body of Law: