FINRA Rule 4530
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FINRA Annual 2026: Exam and enforcement enhancements offer guidance to member firms
Speakers discussed the enhancements FINRA is making to both divisions and how firms can navigate their way through these processes with better practices.
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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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.