- Regulation
- Technology
- Resources
Latest News
FINRA Rule 4511
-
FINRA cites ex-Schwab rep for hiding profit-sharing agreement on unapproved comms
Rep allegedly exchanged thousands of text messages and emails with customer he had a profit-sharing agreement with, using personal mobile device.
-
FINRA disciplinary action update 2025/27
Disciplinary decisions issued July 12 – 18, 2025.
-
FINRA disciplinary action update 2025/26
Disciplinary decisions issued July 5 – 11, 2025.
-
Clearing firm fined for surveillance lapses related to potentially manipulative trading
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
-
FINRA disciplinary action update 2025/24
Disciplinary decisions issued June 21 – 27, 2025.
-
FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
-
FINRA disciplinary action update 2025/18
Disciplinary decisions issued May 10 – 16, 2025.
-
FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.