SEC Rule 17a-4
Rule Collection
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FINRA disciplinary action update 2025/45
Disciplinary decisions issued November 29 – December 5, 2025.
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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
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FINRA disciplinary action update 2025/39
Disciplinary decisions issued October 18 – 24, 2025.
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SIFMA urges SEC to modernize communication recordkeeping rules
SIFMA said these rules need to be redrafted so firms can "more effectively manage their relationships with clients through seamless and modern communication."
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FINRA disciplinary action update 2025/37
Disciplinary decisions issued October 4 – 10, 2025.
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FINRA disciplinary action update 2025/37
Disciplinary decisions issued October 4 – 10, 2025.
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SEC’s Atkins doubles down on cautious regulation in FT interview
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.
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FINRA disciplinary action update 2025/33
Disciplinary decisions issued August 30 – September 12, 2025.
Further Reading
