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FINRA enforcement activity covering September 26 – October 2.
SEA 1934 Rule 15c3-3
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Disciplinary decisions issued January 1 – 16, 2026.
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Disciplinary decisions issued November 1 – 7, 2025.
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Disciplinary decisions issued October 18 – 24, 2025.
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Disciplinary decisions issued October 4 – 10, 2025.
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Disciplinary decisions issued October 4 – 10, 2025.
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Disciplinary decisions issued August 30 – September 12, 2025.
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Disciplinary decisions issued February 1 – 7, 2025.