SEC Reg NMS

Enforcement

FINRA disciplinary action update 2025/31

August 26, 2025

Disciplinary decisions issued August 16 – 22, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2025/2

January 23, 2025

Disciplinary decisions issued January 11 – 17, 2025.

Thomas Hyrkiel2 min read
Enforcement

FINRA disciplinary action update 2024/45

November 27, 2024

Disciplinary decisions issued November 16 – 22, 2024.

Thomas Hyrkiel3 min read
SEC

What the SEC amends to regulation NMS mean

September 24, 2024

The amendments to Reg NMS include updates to minimum tick sizes, access fee caps, and odd lot/round lot details.

Alexander Barzacanos2 min read