FINRA Rule 2241
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SEC terminates undertakings in Global Research Analyst Settlement affecting 12 firms
One reason for the modification is that following the settlement, FINRA adopted Rule 2241, which addresses equity research and conflicts of interest.
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FINRA disciplinary action update 2025/43
Disciplinary decisions issued November 15 – 21, 2025.
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FINRA fines Deutsche Bank $2.5m for disclosure, supervisory failures
Conflicts of interest in research reports have potential to influence content of reports, including investment recommendations, ratings, etc.
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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 2024/14
Disciplinary decisions issued April 6 – 12, 2024.
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FINRA disciplinary action update #41
Disciplinary decisions issued December 1 – 7, 2023.
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FINRA disciplinary action update #33
Disciplinary decisions issued October 6 – 12, 2023.
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FINRA member firm fined $1.5m over business comms failings
Examples include breaches over recordkeeping, supervision of personal messaging and conflicts of interest.