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SEC Reg BI
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FINRA disciplinary action update 2025/45
Disciplinary decisions issued November 29 – December 5, 2025.
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FINRA disciplinary action update 2025/44
Disciplinary decisions issued November 22 – 28, 2025.
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FINRA disciplinary action update 2025/43
Disciplinary decisions issued November 15 – 21, 2025.
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SEC details 2026 compliance and oversight priorities
The 2026 priorities carry forward many of the themes from 2025, but the tone has shifted from early groundwork to more stringent expectations.
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FINRA disciplinary action update 2025/40
Disciplinary decisions issued October 25 – 31, 2025.
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The longest pause – how the SEC shutdown is testing compliance resilience
Compliance structures built over decades are coming under pressure as the federal shutdown enters its second month.
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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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Latest Reg BI fine from FINRA shows why boilerplate policies no longer work
FINRA sends a clear signal that procedural lapses alone can now constitute a violation.