FINRA Reg Notice 21-03

FINRA enforcement activity covering October 3 – 9.

FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.

Disciplinary decisions issued January 1 – 16, 2026.

Disciplinary decisions issued December 13 – 19, 2025.

Disciplinary decisions issued April 19 – 25, 2025.

Disciplinary decisions issued March 1 – 7, 2025.

Disciplinary decisions issued September 29 – October 5, 2023.