SEA 1934 Rule 17a-4
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FINRA disciplinary action update 2024/38
Disciplinary decisions issued September 28 – October 4, 2024.
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‘Widespread recordkeeping failures’ – SEC charges mean 26 firms pay more than $390m combined
Three of the firms received credit for self-reporting.
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FINRA disciplinary action update 2024/29
Disciplinary decisions issued July 20 – 26, 2024.
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FINRA disciplinary action update 2024/23
Disciplinary decisions issued June 8 – 14, 2024.
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SEC sued over its recordkeeping fines relating to messaging apps
Suit follows refusal by the SEC to disclose its enforcement records in response to a FOIA request.
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FINRA disciplinary action update 2024/20
Disciplinary decisions issued May 18 – 24, 2024.
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FINRA disciplinary action update 2024/16
Disciplinary decisions issued April 20 – 26, 2024.
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FINRA disciplinary action update 2024/13
Disciplinary decisions issued March 30 – April 5, 2024.