SEA 1934 Rule 17a-4

FINRA enforcement activity covering September 26 – October 2.

Disciplinary decisions issued July 4 – 31, 2026.

At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.

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.