The Financial Industry Regulatory Authority, Inc. (FINRA) posts the disciplinary actions it took to an online database. It also publishes a monthly summary of these actions, which is a worthwhile read for those in the industry—if only for insight into FINRA’s current priorities. Below, I offer a thought on FINRA’s February 2026 edition.
Supervisory Procedures and Systems Continue to be Important
By my count, 23 of the cases reported cited alleged failures in supervisory systems or procedures. The issues included trade reporting—which is … Read the rest

