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TRACE
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FINRA disciplinary action update 2025/11
Disciplinary decisions issued March 15 – 21, 2025.
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FINRA disciplinary action update 2025/8
Disciplinary decisions issued February 22 – 28, 2025.
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Fixed income TRACE reporting timeframe reductions delayed
Industry concerns, including potential unintended consequences for the markets, cited as reason for not setting an effective date for the changes.
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FINRA disciplinary action update 2025/1
Disciplinary decisions issued January 1 – 10, 2025.
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FINRA disciplinary action update 2024/49
Disciplinary decisions issued December 14 – 20, 2024.
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FINRA disciplinary action update 2024/47
Disciplinary decisions issued November 30 – December 6, 2024.
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FINRA disciplinary action update 2024/43
Disciplinary decisions issued November 2 – 8, 2024.
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FINRA disciplinary action update 2024/42
Disciplinary decisions issued October 26 – November 1, 2024.