SEA 1934 Rule 15c3-5
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FINRA disciplinary action update 2026/5
Disciplinary decisions issued February 7 – 20, 2026.
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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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Instinet dinged for surveillance lapses over potential manipulative trading
FINRA and the NYSE said the firm used unreasonable surveillance parameters to flag potential manipulative trading activity.
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FINRA disciplinary action update 2025/48
Disciplinary decisions issued December 20 – 31, 2025.
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FINRA disciplinary action update 2025/44
Disciplinary decisions issued November 22 – 28, 2025.
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FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.
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FINRA disciplinary action update 2024/30
Disciplinary decisions issued July 27 – August 2, 2024.
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FINRA disciplinary action update 2024/15
Disciplinary decisions issued April 13 – 19, 2024.