At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.
SEA 1934 Rule 17a-4
A security checklist for regulated Industries.
Disciplinary decisions issued January 31 – February 6, 2026.
FINRA noted the case involved “at least 3,560 text messages” about firm business, including sensitive personal information and investment advice.
Disciplinary decisions issued January 24 – 30, 2026.
FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
Disciplinary decisions issued January 1 – 16, 2026.
Disciplinary decisions issued November 29 – December 5, 2025.