FINRA Rule 2020 – Global Relay Intelligence & Practice

FINRA Rule 2020

Enforcement

FINRA fines CIBC $425,000 for reporting, supervisory failures in options market

November 3, 2025

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.

Julie DiMauro3 min read
Enforcement

FINRA disciplinary action update #39

November 28, 2023

Disciplinary decisions issued November 17 – 23, 2023.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update #34

October 26, 2023

Disciplinary decisions issued October 13 – 19, 2023.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update #14

May 30, 2023

Disciplinary decisions issued May 19 – May 25, 2023.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update #13

May 22, 2023

Disciplinary decisions issued May 12 – May 18, 2023.

Thomas Hyrkiel2 min read