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FINRA disciplinary action update 2025/47
Disciplinary decisions issued December 13 – 19, 2025.
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A Valerie Mirko walks us through the RIA and BD year in review
Mirko also touched on public company and crypto matters, saying the agencies will still focus on investor harm but emphasize useful disclosure, welcoming innovation and bolstering the private markets.
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FINRA and the SEC – 2025 highlights and 2026 predictions
It was one of the most dynamic years in history for both the SEC and FINRA, with many unexpected – even unprecedented – twists and turns.
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FINRA disciplinary action update 2025/46
Disciplinary decisions issued December 6 – 12, 2025.
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FINRA flags AI use recommendations in 2026 report
Trends in AI listed for the first time.
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FINRA disciplinary action update 2025/45
Disciplinary decisions issued November 29 – December 5, 2025.
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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.
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FINRA disciplinary action update 2025/44
Disciplinary decisions issued November 22 – 28, 2025.