SEC Reg BI
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Halfway through 2026, Valerie Mirko reflects on SEC and FINRA
Mirko explains how the SEC’s initiation of a sweeping shift in regulatory policy is affecting regulated businesses, or for the pending changes, how it could.
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FINRA disciplinary action update 2026/5
Disciplinary decisions issued February 7 – 20, 2026.
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FINRA disciplinary action update 2026/4
Disciplinary decisions issued January 31 – February 6, 2026.
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FINRA disciplinary action update 2026/3
Disciplinary decisions issued January 24 – 30, 2026.
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FINRA disciplinary action update 2026/2
Disciplinary decisions issued January 17 – 23, 2026.
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FINRA disciplinary action update 2025/48
Disciplinary decisions issued December 20 – 31, 2025.
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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.