FINRA Rule 3120 – Global Relay Intelligence & Practice

FINRA Rule 3120

Enforcement

FINRA disciplinary action update 2025/36

October 8, 2025

Disciplinary decisions issued September 27 – 3 October, 2025.

Thomas Hyrkiel7 min read
FINRA

FINRA seeks public comment on the operations of modern workplaces

April 21, 2025

FINRA identified the modern workplace as an initial area of focus for its latest review, asking for specific comments from member firms.

Julie DiMauro3 min read
Enforcement

FINRA disciplinary action update 2025/13

April 8, 2025

Disciplinary decisions issued March 29 – April 4, 2025.

Thomas Hyrkiel2 min read