FINRA Rule 4511
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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.
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FINRA disciplinary action update 2025/24
Disciplinary decisions issued June 21 – 27, 2025.
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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FINRA disciplinary action update 2025/18
Disciplinary decisions issued May 10 – 16, 2025.
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FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.
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FINRA addresses collateral consequences of SEC recordkeeping enforcement
Public interest and investor protection cited as reasons to more closely align ongoing membership obligations by firms settling at different times.
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FINRA disciplinary action update 2025/15
Disciplinary decisions issued April 19 – 25, 2025.
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FINRA disciplinary action update 2025/14
Disciplinary decisions issued April 5 – 18, 2025.