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FINRA disciplinary action update 2026/5
Disciplinary decisions issued February 7 – 20, 2026.
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Podcast: Jeffrey Oliver tells us about the state of antitrust policy and enforcement in 2026
Jeffrey Oliver talked to GRIP about the surging pace of antitrust activity in 2026 and what we can expect from regulators in this space.
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Insurance executive and marketing CEO sentenced in $233m ACA fraud scheme
Texts exchanged by the defendants revealed a scheme that targeted low-income individuals experiencing homelessness, unemployment, and other challenges.
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GRIP Extra: SEC proposes N-PORT scalebacks, OCC proposes appeals board
Our in-brief roundup of notable stories from the last week.
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OCC issues notice of proposed changes to bank appeals process
The regulator expects its revisions to “significantly raise the number of appeals” from the institutions it oversees.
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FINRA proposes finalizing updates to outside business activity rules
The Proposed Rule is a welcome development to modernize the existing, outdated requirements related to outside business activity and private securities transactions.
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Shorter corporate disclosure through rule changes is aim of SEC’s Atkins
The SEC chair outlined corporate disclosure reforms he has asked SEC staff to explore, such as on executive comp and executive personal security.
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SEC’s Atkins praises Texas corporate law, promises to scale back disclosure rules
Could Texas’s recently enacted law SB 29 shape the contours of corporate law?