FINRA Rule 3110
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Clearing firm fined for surveillance lapses related to potentially manipulative trading
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
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FINRA disciplinary action update 2025/24
Disciplinary decisions issued June 21 – 27, 2025.
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FINRA disciplinary action update 2025/23
Disciplinary decisions issued June 14 – 20, 2025.
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FINRA disciplinary action update 2025/22
Disciplinary decisions issued June 7 – 13, 2025.
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 2025.
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FINRA disciplinary action update 2025/19
Disciplinary decisions issued May 17 – 23, 2025.
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FINRA disciplinary action update 2025/18
Disciplinary decisions issued May 10 – 16, 2025.