Skip to Primary Navigation

Skip to main content

FINRA Annual 2026: Tracking the compliance and legal trends

Image of a mobile phone showing an array of apps.
Photo: Matt Cardy/Getty Images

Julie DiMauro

3 min read
 Click to share on Facebook (Opens in new window/tab) Click to share on Twitter (Opens in new window/tab) Click to share on LinkedIn (Opens in new window/tab) Click to share on WhatsApp (Opens in new window/tab)

At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.

The main themes of finding investments appropriate for investors and on education were highlighted in panels mixing industry leaders with FINRA officials. Or as one panelist at the FINRA Annual event put it: “A chatbot won’t provide a suitability review like a well-trained adviser can,” reminding us that technology must

, , , , , , , , , ,

Get full access, free for a month

This is a Premium article. Start your 28-day free trial to continue reading and access all content on GRIP – no payment details required.

Start free trial Sign in

What’s included:

  • Every new article, plus our 5,000+ archive
  • Daily regulatory insight and guidance
  • Exclusive interviews and in-depth analysis
  • Coverage of industry-leading events and conferences
  • All podcasts and videos, featuring industry experts
  • The full set of Rules Navigator tools
  • An ad-free experience