FINRA Rule 4330 – Global Relay Intelligence & Practice

FINRA Rule 4330

Enforcement

FINRA disciplinary action update 2025/5

February 12, 2025

Disciplinary decisions issued February 1 – 7, 2025.

Thomas Hyrkiel1 min read
Enforcement

Paid securities lending program shortcomings lead to fine for clearing firm Apex

February 11, 2025

First FINRA enforcement action related to the rules governing the permissible use of customers’ securities results in censure and $3.2m fine.

Thomas Hyrkiel, Julie DiMauro5 min read