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Disciplinary decisions issued July 4 – 31, 2026.
FINRA Rule 2010
Requires members to observe high standards of commercial honor and just and equitable principles of trade in the conduct of their business.
Rule Overview
Jurisdiction: United States
Regulator: FINRA
Topic: General Requirements
FINRA Rulebook Rule 2010Overview
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Further Reading
Latest News
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Disciplinary decisions issued June 27 – July 3, 2026.
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Disciplinary decisions issued June 12 – 26, 2026.
Recommendations include new overarching enforcement principles, closer CEO involvement, changes to due process, and tighter engagement with regulated member firms.
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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.
