FINRA Rule 4530
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FINRA modernizes oversight – from structural reforms to smarter enforcement
FINRA is changing to become more efficient, transparent, and adaptable. We assess the new approach and the thinking behind it.
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FINRA disciplinary action update 2025/16
Disciplinary decisions issued April 26 – May 2, 2025.
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FINRA disciplinary action update 2025/13
Disciplinary decisions issued March 29 – April 4, 2025.
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FINRA disciplinary action update 2024/34
Disciplinary decisions issued August 24 – 30, 2024.
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FINRA disciplinary action update 2024/26
Disciplinary decisions issued June 29 – July 5, 2024.
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As Wells Fargo fires employees for mouse movers, let’s talk about surveillance
A recent FINRA filing indicates that the bank recently terminated some employees for simulating mouse movements at their PCs.
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FINRA disciplinary action update 2024/19
Disciplinary decisions issued May 11 – 17, 2024.
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One-person compliance dept leads to $500,000 fine for online brokerage
Webull fined by Massachusetts regulators for inadequate compliance handling hundreds of thousands of brokerage accounts.