Disciplinary decisions issued May 3 – 9, 2025.
FINRA Conference 2025 special issue
Public interest and investor protection cited as reasons to more closely align ongoing membership obligations by firms settling at different times.
Information on third-party vendors is used by FINRA in proactive outreach to member firms including alerts and guidance.
A vulnerability in TeleMessage was reportedly exploited to extract archived messages and other data relating to US government officials and companies.
The SEC’s third roundtable on crypto regulation highlighted growing consensus on investor protection, but also exposed deep divisions over custody frameworks and the role of self-custody in an evolving market.
SEC exams are likely to stay just as rigorous, if not become even more detail-oriented.
Citadel Securities released a white paper laying out policy recommendations for the SEC and exchanges it regulates.
Disciplinary decisions issued April 19 – 25, 2025.