FINRA Rule 4511

The identity archive exists, but is it secure and compliant? Four questions to ask this quarter.

Disciplinary decisions issued August 1 – 21, 2026.

Disciplinary decisions issued July 4 – 31, 2026.

A security checklist for regulated Industries.

Disciplinary decisions issued January 31 – February 6, 2026.

FINRA noted the case involved “at least 3,560 text messages” about firm business, including sensitive personal information and investment advice.

Disciplinary decisions issued January 24 – 30, 2026.

FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.