SEC Reg NMS Rule 611 – Global Relay Intelligence & Practice

SEC Reg NMS Rule 611

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 2024/30

August 7, 2024

Disciplinary decisions issued July 27 – August 2, 2024.

Thomas Hyrkiel5 min read
Enforcement

FINRA disciplinary action update #38

November 23, 2023

Disciplinary decisions issued November 10 – 16, 2023.

Thomas Hyrkiel3 min read