Disciplinary decisions issued July 4 – 31, 2026.
SEC Rule 17a-4(i)
A written undertaking is required from any third party (vendor) attesting that the books and records maintained on behalf of a member firm are the property of that firm and will be surrendered promptly on request.
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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.
Disciplinary decisions issued January 31 – February 6, 2026.
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
Disciplinary decisions issued January 24 – 30, 2026.
FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
Disciplinary decisions issued January 1 – 16, 2026.
