Regulation S-ID Rule 201
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Robinhood BDs dinged for violating more than 10 securities law provisions
Alleged violations include blue sheet filing, identity theft, and suspicious activity reporting, including a 2021 data breach that exposed customers’ data.
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FINRA disciplinary action update 2024/27
Disciplinary decisions issued July 6 – 12, 2024.
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FINRA disciplinary action update 2024/17
Disciplinary decisions issued April 27 – May 3, 2024.