Disciplinary decisions issued July 4 – 31, 2026.
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.
Overview
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Further Reading
Latest News
Disciplinary decisions issued June 27 – July 3, 2026.
Key personnel moves across the regulated industries that we cover.
There are several compliance challenges for firms incorporating AI notetaking into their processes.
After decades of trying to make the shift, Regulation E-Delivery aims to end the opt-in requirement for receiving electronic investor information.
FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.
Practical guidance for UK firms navigating US SEC authorization and FINRA compliance, including best practices and tips.
The changes would allow more retakes within a shorter span of time.
