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Latest News
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Podcast: Adria Perez and Kate Seikaly on civil and criminal trade compliance, False Claims Act, and tariff origin checks
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GRIP Extra: FINRA appoints new Board of Governors members, DOJ pushes for Powell prosecution
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Podcast: Christopher Wimmer on cross-border investments, critical minerals, and compliance in Canada
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- Industry
FINRA Rule 2360
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FINRA disciplinary action update 2025/46
Disciplinary decisions issued December 6 – 12, 2025.
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FINRA disciplinary action update 2025/44
Disciplinary decisions issued November 22 – 28, 2025.
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FINRA disciplinary action update 2025/43
Disciplinary decisions issued November 15 – 21, 2025.
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FINRA disciplinary action update 2025/40
Disciplinary decisions issued October 25 – 31, 2025.
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FINRA fines CIBC $425,000 for reporting, supervisory failures in options market
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.
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FINRA disciplinary action update 2025/32
Disciplinary decisions issued August 23 – 29, 2025.
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FINRA disciplinary action update 2025/31
Disciplinary decisions issued August 16 – 22, 2025.
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FINRA disciplinary action update 2025/12
Disciplinary decisions issued March 22 – 28, 2025.