Compliance Breaches Lead to 22-Month Rep Suspension
A former registered representative has agreed to a 22-month suspension [...]
17
11, 2025
16
10, 2025
FINRA Fines Firm $125K Over Disclosure Failures
FINRA has fined a broker-dealer $125,000 for failing to ensure [...]
16
10, 2025
Recordkeeping Failures Lead to $850K FINRA Fine
A recent FINRA enforcement action resulted in an $850,000 fine [...]
15
09, 2025
Reg BI Breach Leads to $260K in Client Losses
FINRA has suspended a registered representative for nine months and [...]
12
09, 2025
FINRA Fines & Suspends Rep for Off-Channel Messaging
FINRA has suspended and fined a former registered representative after [...]
12
09, 2025
FINRA Reminds Firms of CE Deadlines and Requirements
With the year-end deadline approaching, FINRA has issued a reminder [...]
11
07, 2025
FINRA’s Remote Oversight Plan Faces Criticism From PIABA
Regulatory inspections have long been a cornerstone of FINRA’s oversight [...]
13
06, 2025
FINRA Proposes Sanction Delays After Court Ruling
Following a 2024 U.S. district court ruling in favor of [...]
9
06, 2025
5 Major Themes from the 2025 FINRA Conference
The 2025 FINRA Annual Conference brought together compliance professionals, regulators, [...]
16
05, 2025
Quest CE Releases New FINRA Courses to its Catalog
MILWAUKEE – Quest CE, trusted provider of compliance training and [...]
