Disciplinary decisions issued July 4 – 31, 2026.
FINRA Rule 4513
Requires member firms to keep and preserve all written customer complaints and action taken in connection with these that relate to actitivies at an office of supervisory jurisdiction or activities supervised by the office.
Overview
Latest News
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.
Further Reading
