SEC Reg BI
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FINRA disciplinary action update 2025/47
Disciplinary decisions issued December 13 – 19, 2025.
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A Valerie Mirko walks us through the RIA and BD year in review
Mirko also touched on public company and crypto matters, saying the agencies will still focus on investor harm but emphasize useful disclosure, welcoming innovation and bolstering the private markets.
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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.