SEA 1934 Rule 17a-4
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CHECKLIST: Is your AI meeting note-taker compliant?
A security checklist for regulated Industries.
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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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FINRA fines Benjamin Edwards $750k for ecomms recordkeeping failures
FINRA noted the case involved “at least 3,560 text messages” about firm business, including sensitive personal information and investment advice.
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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FINRA files complaint against firm for AML, ecomms recordkeeping and more
FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
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FINRA disciplinary action update 2026/1
Disciplinary decisions issued January 1 – 16, 2026.
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FINRA disciplinary action update 2025/45
Disciplinary decisions issued November 29 – December 5, 2025.
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FINRA fine on broker-dealer spotlights supervisory controls
The broker-dealer was cited for compliance violations, including failures related to Reg BI, email retention, and the supervision of outside business activities.