FINRA Rule 2241 – Global Relay Intelligence & Practice

FINRA Rule 2241

Enforcement

FINRA disciplinary action update 2024/14

April 22, 2024

Disciplinary decisions issued April 6 – 12, 2024.

Thomas Hyrkiel1 min read
Enforcement

FINRA disciplinary action update #41

December 14, 2023

Disciplinary decisions issued December 1 – 7, 2023.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update #33

October 19, 2023

Disciplinary decisions issued October 6 – 12, 2023.

Thomas Hyrkiel1 min read
Enforcement

FINRA member firm fined $1.5m over business comms failings

November 29, 2022

Examples include breaches over recordkeeping, supervision of personal messaging and conflicts of interest.

Thomas Hyrkiel2 min read