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FINRA disciplinary action update 2024/23
Disciplinary decisions issued June 8 – 14, 2024.
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FINRA disciplinary action update 2024/12
Disciplinary decisions issued March 23 – 29, 2024.
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FINRA disciplinary action update 2024/11
Disciplinary decisions issued March 16 – 22, 2024.
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FINRA disciplinary action update 2024/10
Disciplinary decisions issued March 9 – 15, 2024.
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Social media influencer program leads to $850k fine by FINRA
Posts by finfluencers paid for by the firm were not balanced and potentially misleading, but resulted in thousands of new accounts being opened.
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FINRA report: Crypto marketing presents potential violations risk
Roughly 70% of distributed materials between July and September 2022 reviewed by FINRA showed “potential substantive violations” of its Rule 2210.
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FINRA disciplinary action update #39
Disciplinary decisions issued November 17 – 23, 2023.
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FINRA moves to harmonize rules for investment performance data
A targeted exception attempts to improve clarity and reduce regulatory friction and confusion without diluting investor protection.