FINRA Rule 3130
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OPINION: LOLs and liabilities – can investment firms doge the dangers of meme coin investing?
Meme coins like Doge appear to have moved beyond the fringe of internet culture and closer towards the mainstream investment world.
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SEC and CFTC extend Form PF compliance dates again
The decision came despite “grave concerns” from outgoing CFTC Commissioner Kristin N. Johnson.
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FINRA disciplinary action update 2025/22
Disciplinary decisions issued June 7 – 13, 2025.
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NSCP submits letter to FINRA requesting updates to rulemaking approach
The compliance industry group requested early rule input opportunities, minimization of rule ambiguity and overlap, and cognizance of compliance costs.
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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The GRIP Files: A Valerie Mirko, Armstrong Teasdale
Valerie talks about her experience in securities enforcement matters, SEC's 'back to basics' approach, her work in-house and what she learned working at NASAA.
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 2025.
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FINRA penalizes broker-dealer firm for social media, finfluencer missteps
FINRA alleged that influencers’ communications were not fair and balanced and included misleading or unwarranted statements.
