Julie DiMauro3 min read
Jean Hurley, Hameed Shuja47 min listen
Jean Hurley3 min read
Communications falling within its scope include:
Specific approval, review and recordkeeping obligations attach to each type of communication.
These are the recordkeeping obligations, including retention periods, that apply to each communications category:
A new FINRA member (< 1 year) must file all retail communications must be filed with FINRA 10 days before their publication.
All FINRA members must file certain other retail communications with FINRA 10 days before their publication.
FINRA’s latest board meeting brought key rule changes, expanded advisory input, and fresh focus on financial and cybersecurity oversight.
Vlada Gurvich3 min read
Disciplinary decisions issued May 31 – June 6, 2025.
Thomas Hyrkiel2 min read
Disciplinary decisions issued May 24 – 30, 2025.
Thomas Hyrkiel1 min read
FINRA alleged that influencers’ communications were not fair and balanced and included misleading or unwarranted statements.
Julie DiMauro3 min read
Disciplinary decisions issued May 3 – 9, 2025.
Thomas Hyrkiel3 min read
Disciplinary decisions issued March 1 – 7, 2025.
Thomas Hyrkiel5 min read
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
Julie DiMauro2 min read
Disciplinary decisions issued February 1 – 7, 2025.
Thomas Hyrkiel1 min read