SEC Reg BI
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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.
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FINRA disciplinary action update 2025/39
Disciplinary decisions issued October 18 – 24, 2025.
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FINRA disciplinary action update 2025/32
Disciplinary decisions issued August 23 – 29, 2025.
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SEC fines Vanguard, Empower for misleading statements, conflicts of interest
Vanguard and Empower allegedly created conflicts of interest by incentivizing advisers to steer clients toward fee-based services, minus the requisite disclosure.
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FINRA disciplinary action update 2025/31
Disciplinary decisions issued August 16 – 22, 2025.