Speakers discussed the enhancements FINRA is making to both divisions and how firms can navigate their way through these processes with better practices.
Disciplinary decisions issued January 24 – 30, 2026.
FINRA is changing to become more efficient, transparent, and adaptable. We assess the new approach and the thinking behind it.
Disciplinary decisions issued April 26 – May 2, 2025.
Disciplinary decisions issued March 29 – April 4, 2025.
Disciplinary decisions issued August 24 – 30, 2024.
Disciplinary decisions issued June 29 – July 5, 2024.
A recent FINRA filing indicates that the bank recently terminated some employees for simulating mouse movements at their PCs.
