Premium article
Disciplinary decisions issued July 4 – 31, 2026.
SEC Rule 17a-4(i)
A written undertaking is required from any third party (vendor) attesting that the books and records maintained on behalf of a member firm are the property of that firm and will be surrendered promptly on request.
Rules in This Collection
Latest News
Further Reading
Latest News
Premium article
At the FINRA Annual Conference this year, panelists highlighted trends such as those involving investor scams, Reg S-P, and e-communications.
A security checklist for regulated Industries.
Premium article
Disciplinary decisions issued January 31 – February 6, 2026.
Premium article
FINRA noted the case involved "at least 3,560 text messages" about firm business, including sensitive personal information and investment advice.
Premium article
Disciplinary decisions issued January 24 – 30, 2026.
Premium article
FINRA's complaint outlines a detailed list of alleged violations, ranging from AML failures to electronic communications archiving shortcomings.
Premium article
Disciplinary decisions issued January 1 – 16, 2026.
