Regulation S-ID Rule 201

FINRA enforcement activity covering October 31 – November 6.

Fiduciary duties, private markets, cybersecurity, retail investor protection, and emerging technologies.

Alleged violations include blue sheet filing, identity theft, and suspicious activity reporting, including a 2021 data breach that exposed customers’ data.

Disciplinary decisions issued July 6 – 12, 2024.

Disciplinary decisions issued April 27 – May 3, 2024.