SEC Reg BI

Mirko also commented on the agency’s enforcement program and how compliance teams can prepare for a review of their policies and processes.

FINRA enforcement activity covering October 10 – 23.

FINRA enforcement activity covering October 3 – 9.

FINRA enforcement activity covering September 26 – October 2.

FINRA enforcement activity covering September 5 – September 25.

FINRA enforcement activity covering August 22 – September 4.

Disciplinary decisions issued July 4 – 31, 2026.

FINRA has advanced two major proposals amending the rule on communications with the public, articulating a risk-based framework for communication review.