FINRA published guidance on anti-money laundering compliance obligations in light of FinCEN's new rule on customer due diligence.

A FINRA hearing panel fined a New York State-based broker-dealer for supervisory failures and misrepresentations to issuers in connection with redemptions of debt securities on behalf of a customer.

FINRA released podcasts that highlight operational risks and market integrity issues outlined in FINRA's 2017 Regulatory and Examination Priorities Letter.

FINRA fined a financial institution for anti-money laundering and supervision violations.