Our in-brief roundup of notable stories from the last week.
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, MSRB rules (where applicable), and Federal securities laws and regulations.
Rule Overview
Jurisdiction: United States
Regulator: FINRA
Topic: General Requirements
FINRA Rule 3130Overview
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Latest News
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Disciplinary decisions issued August 1 – 21, 2026.
Our in-brief roundup of notable stories from the last week.
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Letter by Chair Atkins suggests changes to funding as well as further rulemaking by the regulator will likely follow.
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Disciplinary decisions issued July 4 – 31, 2026.
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Disciplinary decisions issued June 27 – July 3, 2026.
Key personnel moves across the regulated industries that we cover.
Quick Watch
There are several compliance challenges for firms incorporating AI notetaking into their processes.
