FINRA Rule 3130
A chief executive officer of a member firm must certify annually that the member has in place processes to establish, maintain, review, test and modify written compliance policies and written supervisory procedures reasonably designed to achieve compliance with applicable FINRA rules.
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FINRA disciplinary action update 2025/35
Disciplinary decisions issued September 20 – 26, 2025.
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Going to the SEC for approval are also proposals for revised corporate financing rules, outside activities requirements, and an increase to the gift limit.
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FINRA disciplinary action update 2025/34
Disciplinary decisions issued September 13 – 19, 2025.
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FINRA disciplinary action update 2025/34
Disciplinary decisions issued September 20 – 26, 2025.
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FINRA disciplinary action update 2025/33
Disciplinary decisions issued August 30 – September 12, 2025.
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FINRA disciplinary action update 2025/32
Disciplinary decisions issued August 23 – 29, 2025.
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Broker settles with FINRA for unsuitable recommendations involving REITs, BDCs
The SRO's action directed toward an individual aligns with the Trump Administration's focus on individual bad actors and not their employers, when possible.
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FINRA disciplinary action update 2025/31
Disciplinary decisions issued August 16 – 22, 2025.
