FINRA fines broker $10,000 for off-channel communications breaches
An ex-broker has been fined and suspended by FINRA for breaching recordkeeping rules, and attempting to cover up misconduct by deleting messages.
Surveillance, Gen AI, and third-party risk: Key takeaways from FINRA’s Annual Oversight Report for 2025
FINRA has published its Annual Oversight Report for 2025, giving firms a 'heads up' of the regulator's key focus areas for the year, including AI, recordkeeping, and third-party and social media risks.