FINRA Rule 6624 – Global Relay Intelligence & Practice

FINRA Rule 6624

Enforcement

FINRA disciplinary action update 2025/9

March 14, 2025

Disciplinary decisions issued March 1 – 7, 2025.

Thomas Hyrkiel5 min read
Enforcement

FINRA fines Robinhood $26m for over a dozen rules violations

March 13, 2025

Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.

Julie DiMauro2 min read
Enforcement

FINRA disciplinary action update #7

April 12, 2023

Disciplinary decisions issued March 31 – April 6, 2023.

Thomas Hyrkiel1 min read