FINRA Rule 2360 – Global Relay Intelligence & Practice

FINRA Rule 2360

Enforcement

FINRA disciplinary action update 2025/12

April 1, 2025

Disciplinary decisions issued March 22 – 28, 2025.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2025/9

March 14, 2025

Disciplinary decisions issued March 1 – 7, 2025.

Thomas Hyrkiel5 min read
Enforcement

FINRA fines Robinhood $26m for over a dozen rules violations

March 13, 2025

Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.

Julie DiMauro2 min read
Enforcement

FINRA disciplinary action update 2024/16

May 3, 2024

Disciplinary decisions issued April 20 – 26, 2024.

Thomas Hyrkiel1 min read
Enforcement

One-person compliance dept leads to $500,000 fine for online brokerage

November 14, 2023

Webull fined by Massachusetts regulators for inadequate compliance handling hundreds of thousands of brokerage accounts.

Julie DiMauro6 min read
Enforcement

FINRA disciplinary action update #32

October 16, 2023

Disciplinary decisions issued September 29 – October 5, 2023.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update #9

April 25, 2023

Disciplinary decisions issued April 14 – April 20, 2023.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update #3

March 13, 2023

Disciplinary decisions issued March 3 – 9, 2023.

Thomas Hyrkiel1 min read