FINRA Rule 2010
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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FINRA disciplinary action update 2026/2
Disciplinary decisions issued January 17 – 23, 2026.
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FINRA disciplinary action update 2026/1
Disciplinary decisions issued January 1 – 16, 2026.
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FINRA disciplinary action update 2025/48
Disciplinary decisions issued December 20 – 31, 2025.
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Credit Suisse Securities settles with FINRA for trade surveillance lapses
Technology issues and lax supervisory procedures allegedly led to “hundreds of millions” of trade, order and position records being omitted from its surveillance systems.
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FINRA disciplinary action update 2025/47
Disciplinary decisions issued December 13 – 19, 2025.
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FINRA disciplinary action update 2025/46
Disciplinary decisions issued December 6 – 12, 2025.
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FINRA disciplinary action update 2025/45
Disciplinary decisions issued November 29 – December 5, 2025.