SEA 1934 Rule 17a-4
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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.
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FINRA disciplinary action update 2025/39
Disciplinary decisions issued October 18 – 24, 2025.
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SIFMA urges SEC to modernize communication recordkeeping rules
SIFMA said these rules need to be redrafted so firms can “more effectively manage their relationships with clients through seamless and modern communication.”
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FINRA disciplinary action update 2025/37
Disciplinary decisions issued October 4 – 10, 2025.
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FINRA disciplinary action update 2025/37
Disciplinary decisions issued October 4 – 10, 2025.