SEA 1934 Rule 17a-3 – Global Relay Intelligence & Practice

SEA 1934 Rule 17a-3

Enforcement

FINRA disciplinary action update 2025/18

May 20, 2025

Disciplinary decisions issued May 10 – 16, 2025.

Thomas Hyrkiel3 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 2025/13

April 8, 2025

Disciplinary decisions issued March 29 – April 4, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/9

March 14, 2025

Disciplinary decisions issued March 1 – 7, 2025.

Thomas Hyrkiel5 min read
Enforcement

FINRA fines Robinhood $26m for over a dozen rules violations

March 13, 2025

Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.

Julie DiMauro2 min read
Enforcement

FINRA disciplinary action update 2025/8

March 4, 2025

Disciplinary decisions issued February 22 – 28, 2025.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update 2025/6

February 19, 2025

Disciplinary decisions issued February 8 –14, 2025.

Thomas Hyrkiel2 min read