Disciplinary decisions issued August 1 – 21, 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
Our in-brief roundup of notable stories from the last week.
Letter by Chair Atkins suggests changes to funding as well as further rulemaking by the regulator will likely follow.
Disciplinary decisions issued July 4 – 31, 2026.
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.
Further Reading
