GRIP2 min read
Jean Hurley19 min listen
GRIP2 min read
SEC Rule 17a-4
Rule Collection
The objective of the rule is to permit comprehensive examinations of firm activities and also act as a deterrent against potential rule-breaking.
Disciplinary decisions issued August 30 – September 12, 2025.
Thomas Hyrkiel2 min read
Key alleged shortcomings include unreasonable supervision as well as failing to maintain books and records.
Thomas Hyrkiel, Julie DiMauro7 min read
Disciplinary decisions issued August 23 – 29, 2025.
Thomas Hyrkiel1 min read
Disciplinary decisions issued July 12 – 18, 2025.
Thomas Hyrkiel2 min read
Disciplinary decisions issued July 5 – 11, 2025.
Thomas Hyrkiel1 min read
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
Julie DiMauro4 min read
Disciplinary decisions issued May 31 – June 6, 2025.
Thomas Hyrkiel2 min read
Disciplinary decisions issued May 3 – 9, 2025.
Thomas Hyrkiel3 min read
Further Reading