FINRA Consolidated Registration Rules Go into Effect

The Securities and Exchange Commission (SEC) Regulatory Notice 17-30 became effective on October 1, 2018, impacting FINRA qualification and registration rules. 

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6 Things to Know about FINRA's 2018 Priorities Letter 

Each year, FINRA releases its "Annual Regulatory and Examination Priorities Letter." Compliance thought leaders and industry publications rush to comment and discuss.

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FINRA Fines - 2017 Summary

*The data collected is from January - November 2017.

We have tracked the monthly and quarterly disciplinary actions taken by FINRA against member firms in 2017 and present to you 6 takeaways we have identified by delving into the numbers behind the released enforcement actions.

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FINRA Fines in 2016 - 7 Key Facts

*Updated Jan 2017

We delved into the official disciplinary actions released from FINRA for 2016 and have been keeping a score sheet of all the fines by month. Now we present to you 7 facts from this long list of fines.

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