FINRA Rule 2210
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FINRA disciplinary action update 2025/28
Disciplinary decisions issued July 19 – 25, 2025.
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FINRA updates rules and rethinks oversight with broader input
FINRA’s latest board meeting brought key rule changes, expanded advisory input, and fresh focus on financial and cybersecurity oversight.
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 2025.
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FINRA penalizes broker-dealer firm for social media, finfluencer missteps
FINRA alleged that influencers’ communications were not fair and balanced and included misleading or unwarranted statements.
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FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.
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FINRA disciplinary action update 2025/9
Disciplinary decisions issued March 1 – 7, 2025.
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FINRA fines Robinhood $26m for over a dozen rules violations
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.