SEC Reg M – Global Relay Intelligence & Practice

SEC Reg M

Enforcement

FINRA files complaint against firm for AML, ecomms recordkeeping and more

January 21, 2026

FINRA’s complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.

Julie DiMauro6 min read
Enforcement

FINRA disciplinary action update 2026/1

January 20, 2026

Disciplinary decisions issued January 1 – 16, 2026.

Thomas Hyrkiel5 min read
Enforcement

FINRA disciplinary action update 2025/26

July 15, 2025

Disciplinary decisions issued July 5 – 11, 2025.

Thomas Hyrkiel1 min read