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Disciplinary decisions issued July 4 – 31, 2026.
SEC Rule 17a-4
Rule Collection
Requires a broker-dealer to promptly furnish legible, true, complete, and current copies of the records required to be maintained and preserved under the rules as well as any other records subject to examination.
Rule Overview
Jurisdiction: United States
Regulator: SEC
Topic: Recordkeeping
ECFR Title 17 Section 240.17a-4Overview
Rules in This Collection
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Further Reading
Latest News
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At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.
A security checklist for regulated Industries.
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Disciplinary decisions issued January 31 – February 6, 2026.
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FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
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Disciplinary decisions issued January 24 – 30, 2026.
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FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
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Disciplinary decisions issued January 1 – 16, 2026.
