FINRA Rule 8210
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FINRA disciplinary action update 2025/42
Disciplinary decisions issued November 8 – 14, 2025.
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NSCP Annual: Crypto grows up the hard way
Regulators at the conference proved that digital-asset markets can be improved through steady coordination, clearer rules, and real-world lessons from the front lines of compliance.
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FINRA disciplinary action update 2025/39
Disciplinary decisions issued October 18 – 24, 2025.
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FINRA sweep targets foreign small-cap offerings
The information requests focus on policies, procedures, training, and surveillance controls around small-cap offerings and trading.
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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 2025/38
Disciplinary decisions issued October 11 – 17, 2025.
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FINRA disciplinary action update 2025/36
Disciplinary decisions issued September 27 – 3 October, 2025.
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FINRA disciplinary action update 2025/35
Disciplinary decisions issued September 20 – 26, 2025.