FINRA Rule 3110
-
FINRA disciplinary action update 2025/48
Disciplinary decisions issued December 20 – 31, 2025.
-
Credit Suisse Securities settles with FINRA for trade surveillance lapses
Technology issues and lax supervisory procedures allegedly led to “hundreds of millions” of trade, order and position records being omitted from its surveillance systems.
-
FINRA disciplinary action update 2025/47
Disciplinary decisions issued December 13 – 19, 2025.
-
FINRA disciplinary action update 2025/46
Disciplinary decisions issued December 6 – 12, 2025.
-
FINRA flags AI use recommendations in 2026 report
Trends in AI listed for the first time.
-
FINRA disciplinary action update 2025/45
Disciplinary decisions issued November 29 – December 5, 2025.
-
FINRA disciplinary action update 2025/44
Disciplinary decisions issued November 22 – 28, 2025.
-
FINRA disciplinary action update 2025/43
Disciplinary decisions issued November 15 – 21, 2025.