FINRA
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FINRA disciplinary action update 2025/39
Disciplinary decisions issued October 18 – 24, 2025.
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FINRA sweep targets foreign small-cap offerings
The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
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FINRA modernizes oversight – from structural reforms to smarter enforcement
FINRA is changing to become more efficient, transparent, and adaptable. We assess the new approach and the thinking behind it.
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FINRA disciplinary action update 2025/38
Disciplinary decisions issued October 11 – 17, 2025.
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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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FINRA fines Ally Invest $850k for recordkeeping failures
22.6 million business-related e-comms were left unpreserved, and 521,000 messages unreviewed, due to technical and policy failures.
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Weekend crypto wipeout offers reminders of (after-hours) risk
After what has been dubbed a “geopolitical tweet,” rapid selling in crypto assets acted like a stress test for the investment sector.