This includes at a minimum:
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
Julie DiMauro4 min read
Disciplinary decisions issued June 21 – 27, 2025.
Thomas Hyrkiel2 min read
Our in-brief roundup of notable stories from last week.
GRIP4 min read
FINRA’s latest board meeting brought key rule changes, expanded advisory input, and fresh focus on financial and cybersecurity oversight.
Vlada Gurvich3 min read
Disciplinary decisions issued June 14 – 20, 2025.
Thomas Hyrkiel2 min read
Two compliance leaders of the global firm allegedly failed to properly supervise the surveillance of securities transactions.
Julie DiMauro4 min read
Meme coins like Doge appear to have moved beyond the fringe of internet culture and closer towards the mainstream investment world.
Howard Fischer | Moses & Singer3 min read
The decision came despite “grave concerns” from outgoing CFTC Commissioner Kristin N. Johnson.
Alexander Barzacanos2 min read