FINRA Rule 3170
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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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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.
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GRIP Extra: States sue to stop Musk from accessing payments systems, companies wind down ESG initiatives
Other news includes the UK Home Office forcing Apple to provide encrypted data, US states going after BlackRock for concealing Chinese investment, and ESMA launching public consultations related to EMIR 3.
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FINRA disciplinary action update 2025/4
Disciplinary decisions issued January 25 – 31, 2025.
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Third-party risk a key addition to FINRA’s 2025 Regulatory Oversight Report
Annual report includes new section on third-party supplier risk landscape, including emerging regulatory concern about AI use within firms and by third-parties.
Further Reading
