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SEA 1934 Rule 17a-3
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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.
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FINRA disciplinary action update 2025/27
Disciplinary decisions issued July 12 – 18, 2025.
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FINRA disciplinary action update 2025/26
Disciplinary decisions issued July 5 – 11, 2025.
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FINRA disciplinary action update 2025/24
Disciplinary decisions issued June 21 – 27, 2025.
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FINRA disciplinary action update 2025/18
Disciplinary decisions issued May 10 – 16, 2025.