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NSCP submits letter to FINRA requesting updates to rulemaking approach
The compliance industry group requested early rule input opportunities, minimization of rule ambiguity and overlap, and cognizance of compliance costs.
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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The GRIP Files: A Valerie Mirko, Armstrong Teasdale
Valerie talks about her experience in securities enforcement matters, SEC’s ‘back to basics’ approach, her work in-house and what she learned working at NASAA.
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 2025.
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FINRA penalizes broker-dealer firm for social media, finfluencer missteps
FINRA alleged that influencers’ communications were not fair and balanced and included misleading or unwarranted statements.
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FINRA disciplinary action update 2025/19
Disciplinary decisions issued May 17 – 23, 2025.
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FINRA disciplinary action update 2025/18
Disciplinary decisions issued May 10 – 16, 2025.
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FINRA Annual 2025: OBAs in the spotlight
Industry weighs in on FINRA rules requiring member firms to oversee their associated persons’ outside activities.