FINRA Rule 4511 – Global Relay Intelligence & Practice

FINRA Rule 4511

Enforcement

FINRA disciplinary action update 2025/45

December 11, 2025

Disciplinary decisions issued November 29 – December 5, 2025.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update 2025/44

December 5, 2025

Disciplinary decisions issued November 22 – 28, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/43

December 1, 2025

Disciplinary decisions issued November 15 – 21, 2025.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2025/41

November 12, 2025

Disciplinary decisions issued November 1 – 7, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA fine on broker-dealer spotlights supervisory controls

October 30, 2025

The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.

Julie DiMauro3 min read
Enforcement

FINRA disciplinary action update 2025/39

October 29, 2025

Disciplinary decisions issued October 18 – 24, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/38

October 21, 2025

Disciplinary decisions issued October 11 – 17, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2025/37

October 17, 2025

Disciplinary decisions issued October 4 – 10, 2025.

Thomas Hyrkiel3 min read