- Regulation
- Technology
- Resources
Latest News
- Industry
FINRA
-
FINRA flags AI use recommendations in 2026 report
Trends in AI listed for the first time.
-
FINRA disciplinary action update 2025/45
Disciplinary decisions issued November 29 – December 5, 2025.
-
SEC terminates undertakings in Global Research Analyst Settlement affecting 12 firms
One reason for the modification is that following the settlement, FINRA adopted Rule 2241, which addresses equity research and conflicts of interest.
-
FINRA disciplinary action update 2025/44
Disciplinary decisions issued November 22 – 28, 2025.
-
FINRA disciplinary action update 2025/43
Disciplinary decisions issued November 15 – 21, 2025.
-
FINRA fines Deutsche Bank $2.5m for disclosure, supervisory failures
Conflicts of interest in research reports have potential to influence content of reports, including investment recommendations, ratings, etc.
-
FINRA disciplinary action update 2025/42
Disciplinary decisions issued November 8 – 14, 2025.
-
SEC’s off-channel comms crackdown eases, compliance professionals say
A Citywire report says that RIAs are reporting softer exams on texts and messaging apps, but compliance teams are not letting their guards down.