FINRA Enforcement Actions
Track FINRA disciplinary trends, fine amounts, and top violation categories to benchmark your compliance program against industry enforcement data.
Disciplinary Actions by Year
Five-year trend of FINRA disciplinary actions and total fines assessed.
Common Enforcement Categories
The types of conduct FINRA most frequently pursues in disciplinary actions.
Key Enforcement Priorities
Understanding where FINRA is focusing its enforcement resources helps firms proactively address high-risk compliance areas before they become disciplinary matters.
Off-channel communications: Continued focus on firms failing to capture and retain business communications on unapproved platforms such as personal text messaging and encrypted apps.
Regulation Best Interest: Scrutiny of firms' Reg BI compliance, including care obligation documentation, conflict mitigation, and Form CRS delivery.
Crypto-related advertising: Enforcement of fair and balanced communications standards for digital asset products and services.
Anti-money laundering deficiencies: Targeting firms with inadequate suspicious activity monitoring, customer due diligence, and independent AML testing.
Senior investor protection: Actions against registered representatives who exploit elderly or vulnerable clients through unsuitable recommendations or unauthorized trading.
Stay ahead of FINRA enforcement trends
Compliance Approved tracks enforcement actions and alerts you to emerging regulatory risks for your firm.