What FINRA’s Recent Disciplinary Actions Reveal |
This month, we examine FINRA’s latest disciplinary actions, breaking down the enforcement trends that compliance teams should be watching closely. |
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Reg BI Breach Leads to $260K in Client Losses |
Excessive trading once again lands in FINRA’s crosshairs, underscoring the need for compliance to act on early warning signs. |
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FINRA Reminds Firms of Upcoming CE Deadlines |
As the December 31st CE deadline approaches, FINRA is putting firms on notice about the potential fallout of missing key requirements. |
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Rep Fined & Suspended for Texting Violations |
A rep’s suspension for unauthorized messaging highlights FINRA’s continued focus on off-channel communication and recordkeeping compliance. |
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