SEA 1934 Rule 17a-14 – Global Relay Intelligence & Practice

SEA 1934 Rule 17a-14

Enforcement

FINRA fine on broker-dealer spotlights supervisory controls

October 30, 2025

The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.

Julie DiMauro3 min read
Enforcement

FINRA disciplinary action update 2025/39

October 29, 2025

Disciplinary decisions issued October 18 – 24, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/20

June 3, 2025

Disciplinary decisions issued May 24 – 30, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2025/17

May 14, 2025

Disciplinary decisions issued May 3 – 9, 2025.

Thomas Hyrkiel3 min read
Enforcement

FINRA disciplinary action update 2025/15

May 1, 2025

Disciplinary decisions issued April 19 – 25, 2025.

Thomas Hyrkiel7 min read
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 2024/44

November 22, 2024

Disciplinary decisions issued November 9 – 15, 2024.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2024/37

October 2, 2024

Disciplinary decisions issued September 21 – 27, 2024.

Thomas Hyrkiel3 min read