SEA 1934 Rule 17a-4
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Clearing firm fined for surveillance lapses related to potentially manipulative trading
FINRA outlined failure to implement effective supervisory and surveillance practices for trading and business communications recordkeeping.
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FINRA disciplinary action update 2025/21
Disciplinary decisions issued May 31 – June 6, 2025.
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FINRA disciplinary action update 2025/17
Disciplinary decisions issued May 3 – 9, 2025.
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FINRA addresses collateral consequences of SEC recordkeeping enforcement
Public interest and investor protection cited as reasons to more closely align ongoing membership obligations by firms settling at different times.
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FINRA disciplinary action update 2025/9
Disciplinary decisions issued March 1 – 7, 2025.
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FINRA disciplinary action update 2025/5
Disciplinary decisions issued February 1 – 7, 2025.
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FINRA disciplinary action update 2025/3
Disciplinary decisions issued January 18 – 24, 2025.
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Robinhood BDs dinged for violating more than 10 securities law provisions
Alleged violations include blue sheet filing, identity theft, and suspicious activity reporting, including a 2021 data breach that exposed customers’ data.