FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.
Overview
Rules in This Collection
Latest News
Further Reading
Disciplinary decisions issued January 24 – 30, 2026.
FINRA's Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.
Disciplinary decisions issued December 20 – 31, 2025.
Regulators at the conference proved that digital-asset markets can be improved through steady coordination, clearer rules, and real-world lessons from the front lines of compliance.
Disciplinary decisions issued August 30 – September 12, 2025.
Disciplinary decisions issued July 19 – 25, 2025.
FINRA’s latest board meeting brought key rule changes, expanded advisory input, and fresh focus on financial and cybersecurity oversight.
