FINRA Rule 3280

Enforcement

FINRA disciplinary action update 2026/5

February 23, 2026

Disciplinary decisions issued February 7 – 20, 2026.

Thomas Hyrkiel2 min read
FINRA

FINRA proposes finalizing updates to outside business activity rules

February 20, 2026

The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.

Alexander I. Cohen | Armstrong Teasdale, Noelle Mack | Armstrong Teasdale, Devon Goodall | Armstrong Teasdale, Matt Kitzi | Armstrong Teasdale, A. Valerie Mirko | Armstrong Teasdale6 min read
Enforcement

FINRA disciplinary action update 2026/4

February 13, 2026

Disciplinary decisions issued January 31 – February 6, 2026.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update 2025/48

January 5, 2026

Disciplinary decisions issued December 20 – 31, 2025.

Thomas Hyrkiel6 min read
Enforcement

FINRA disciplinary action update 2025/37

October 17, 2025

Disciplinary decisions issued October 4 – 10, 2025.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update 2025/37

October 15, 2025

Disciplinary decisions issued October 4 – 10, 2025.

Thomas Hyrkiel3 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 2025/18

May 20, 2025

Disciplinary decisions issued May 10 – 16, 2025.

Thomas Hyrkiel3 min read