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Disciplinary decisions issued August 1 – 21, 2026.
FINRA Regulatory Notice 22-10
The responsibility to meet a firm's supervisory obligations rests with its business management, not its compliance officials.
Rule Overview
Jurisdiction: United States
Regulator: FINRA
Topic: Supervision
Regulatory Notice 22-10Overview
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Further Reading
Latest News
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Disciplinary decisions issued July 4 – 31, 2026.
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Disciplinary decisions issued June 27 – July 3, 2026.
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Disciplinary decisions issued June 12 – 26, 2026.
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Disciplinary decisions issued February 7 – 20, 2026.
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Disciplinary decisions issued January 31 – February 6, 2026.
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FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
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FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
