NASD Rule 3012 – Global Relay Intelligence & Practice

NASD Rule 3012

Enforcement

FINRA disciplinary action update 2025/1

January 14, 2025

Disciplinary decisions issued January 1 – 10, 2025.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2024/27

July 17, 2024

Disciplinary decisions issued July 6 – 12, 2024.

Thomas Hyrkiel4 min read