SEA 1934 Rule 17a-14
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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 2025/48
Disciplinary decisions issued December 20 – 31, 2025.
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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.
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FINRA disciplinary action update 2025/39
Disciplinary decisions issued October 18 – 24, 2025.
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FINRA disciplinary action update 2025/20
Disciplinary decisions issued May 24 – 30, 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 2025/15
Disciplinary decisions issued April 19 – 25, 2025.
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FINRA disciplinary action update 2025/1
Disciplinary decisions issued January 1 – 10, 2025.