SEA 1934 Rule 17f-2
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FINRA disciplinary action update 2024/47
Disciplinary decisions issued November 30 – December 6, 2024.
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FINRA disciplinary action update 2024/36
Disciplinary decisions issued September 14 – 20, 2024.
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FINRA disciplinary action update 2024/33
Disciplinary decisions issued August 17 – 23, 2024.
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FINRA settles with Barclays Capital over fingerprinting, screening issues
FINRA alleges the firm did not fingerprint and properly screen non-registered associated persons based in foreign locations as required by its rules.