MSRB Rule G-8

Enforcement

FINRA disciplinary action update 2025/27

July 21, 2025

Disciplinary decisions issued July 12 – 18, 2025.

Thomas Hyrkiel2 min read
Enforcement

SEC charges 12 municipal advisers with recordkeeping violations

September 19, 2024

The charges relate to off-channel communications and related supervisory failures.

Alexander Barzacanos1 min read
Enforcement

FINRA disciplinary action update 2024/17

May 14, 2024

Disciplinary decisions issued April 27 – May 3, 2024.

Thomas Hyrkiel1 min read