FINRA Rule 3110 – Global Relay Intelligence & Practice

FINRA Rule 3110

Enforcement

FINRA disciplinary action update 2025/30

August 18, 2025

Disciplinary decisions issued August 9 – 15, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/29

August 14, 2025

Disciplinary decisions issued July 26 – August 8, 2025.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update 2025/28

July 29, 2025

Disciplinary decisions issued July 19 – 25, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2025/26

July 15, 2025

Disciplinary decisions issued July 5 – 11, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2025/25

July 8, 2025

Disciplinary decisions issued June 28 – July 4, 2025.

Thomas Hyrkiel1 min read
Enforcement

Clearing firm fined for surveillance lapses related to potentially manipulative trading

July 1, 2025

FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.

Julie DiMauro4 min read
Enforcement

FINRA disciplinary action update 2025/24

July 1, 2025

Disciplinary decisions issued June 21 – 27, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/23

June 26, 2025

Disciplinary decisions issued June 14 – 20, 2025.

Thomas Hyrkiel2 min read