FINRA Rule 2020
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FINRA disciplinary action update 2025/47
Disciplinary decisions issued December 13 – 19, 2025.
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FINRA fines CIBC $425,000 for reporting, supervisory failures in options market
Positions must be reported to the LOPR system no later than the close of business on the next day following the day on which the pertinent transaction occurred.
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FINRA disciplinary action update #39
Disciplinary decisions issued November 17 – 23, 2023.
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FINRA disciplinary action update #34
Disciplinary decisions issued October 13 – 19, 2023.
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FINRA disciplinary action update #14
Disciplinary decisions issued May 19 – May 25, 2023.
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FINRA disciplinary action update #13
Disciplinary decisions issued May 12 – May 18, 2023.