FINRA Rule 2360 – Global Relay Intelligence & Practice

FINRA Rule 2360

Enforcement

FINRA disciplinary action update 2025/40

November 4, 2025

Disciplinary decisions issued October 25 – 31, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA fines CIBC $425,000 for reporting, supervisory failures in options market

November 3, 2025

Positions must be reported to the LOPR system no later than the close of business on the next day following the day on which the pertinent transaction occurred.

Julie DiMauro3 min read
Enforcement

FINRA disciplinary action update 2025/32

September 4, 2025

Disciplinary decisions issued August 23 – 29, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2025/31

August 26, 2025

Disciplinary decisions issued August 16 – 22, 2025.

Thomas Hyrkiel2 min read
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