FINRA Rule 2210

SEC approved rule amendment allowing broker-dealers to include performance projections and targeted returns in marketing materials for eligible clients.

FINRA enforcement activity covering September 5 – September 25.

Disciplinary decisions issued July 4 – 31, 2026.

FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.

Disciplinary decisions issued January 24 – 30, 2026.

FINRA’s Mark Ruppert detailed in his blog post some ways firms can evaluate their particular agentic AI strategies and associated risks.

Disciplinary decisions issued December 20 – 31, 2025.

Regulators at the conference proved that digital-asset markets can be improved through steady coordination, clearer rules, and real-world lessons from the front lines of compliance.