Regulation S-P Rule 30(a) – Global Relay Intelligence & Practice

Regulation S-P Rule 30(a)

Enforcement

FINRA disciplinary action update 2025/36

October 8, 2025

Disciplinary decisions issued September 27 – 3 October, 2025.

Thomas Hyrkiel7 min read
Enforcement

Robinhood BDs dinged for violating more than 10 securities law provisions

January 15, 2025

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

Julie DiMauro2 min read