FINRA Rule 2121
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NASAA member states settle with brokerage firms over excessive fees
The investigation was conducted jointly by seven state securities regulators.
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FINRA disciplinary action update 2025/12
Disciplinary decisions issued March 22 – 28, 2025.
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FINRA disciplinary action update 2024/49
Disciplinary decisions issued December 14 – 20, 2024.
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FINRA disciplinary action update 2024/37
Disciplinary decisions issued September 21 – 27, 2024.
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FINRA disciplinary action update 2024/30
Disciplinary decisions issued July 27 – August 2, 2024.
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FINRA disciplinary action update 2024/27
Disciplinary decisions issued July 6 – 12, 2024.
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FINRA disciplinary action update 2024/23
Disciplinary decisions issued June 8 – 14, 2024.
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FINRA disciplinary action update 2024/12
Disciplinary decisions issued March 23 – 29, 2024.