Disciplinary decisions issued February 7 – 20, 2026.
FINRA Rule 3110.06
Directs member firms to employ risk-based principles when deciding the extent to which additional procedures and policies are required for its business and structure in connection with both incoming and outgoing written correspondence falling outside of the scope of Rule 3110(b)(4) as well as internal communications that are not of a subject to FINRA rules and federal securities laws.
Overview
Rules in This Collection
Latest News
Disciplinary decisions issued January 31 – February 6, 2026.
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
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 January 17 – 23, 2026.
FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.