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FINRA disciplinary action update 2025/7
Disciplinary decisions issued February 15 –21, 2025.
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FINRA disciplinary action update 2025/6
Disciplinary decisions issued February 8 –14, 2025.
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EBA narrows existing ICT guidelines
DORA ICT risk management requirements apply to financial entities in their place.
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FTC finds “world’s first robot lawyer” failed to live up to its claims
Order against DoNotPay prohibits it from making deceptive claims and requires it to notify past subscribers of the deficient nature of its service.
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AMF fines three individuals for alleged market manipulation
The share price of 39 companies was swayed in order to generate profits for members of the group.
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FINRA disciplinary action update 2025/5
Disciplinary decisions issued February 1 – 7, 2025.
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Paid securities lending program shortcomings lead to fine for clearing firm Apex
First FINRA enforcement action related to the rules governing the permissible use of customers’ securities results in censure and $3.2m fine.
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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.