SEA 1934 Rule 17a-3
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FINRA disciplinary action update 2025/41
Disciplinary decisions issued November 1 – 7, 2025.
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FINRA fines First Trust Portfolios for gifts and entertainment violations
FINRA said First Trust provided gifts, meals and entertainment to representatives of retail broker-dealers that significantly exceeded limits for non-cash compensation.
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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 2025/38
Disciplinary decisions issued October 11 – 17, 2025.
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FINRA disciplinary action update 2025/36
Disciplinary decisions issued September 27 – 3 October, 2025.
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SEC’s Atkins doubles down on cautious regulation in FT interview
“…in more recent years [the SEC] was not grounded in precedent [or] predictability. It would shoot first and then ask questions later,” Atkins said.
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Synapse Brokerage CEO and CCO charged with misconduct by FINRA
Key alleged shortcomings include unreasonable supervision as well as failing to maintain books and records.
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FINRA disciplinary action update 2025/32
Disciplinary decisions issued August 23 – 29, 2025.