Live monitoring — FINRA
RegAxis monitors every
FINRA action 24/7.
Broker-dealers face a constant stream of FINRA Regulatory Notices, enforcement actions, and rule amendments. RegAxis catches every update and scores its urgency — so your compliance team focuses on what actually matters.
Built for broker-dealers and registered representatives.
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Recent FINRA actions
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Coverage
What RegAxis monitors from FINRA
Regulatory Notices (new rules, guidance, requests for comment)
Enforcement Actions and disciplinary decisions
Sanctions Guidelines updates
Rule filings with the SEC (SR-FINRA series)
Exam findings and targeted exam letters
Annual Regulatory and Examination Priorities
Cybersecurity and technology governance updates
Common gaps
Most-missed FINRA compliance items
Reg BI Compliance
Best Interest obligations for retail customers go beyond suitability. FINRA exams consistently find gaps in documentation, product selection rationale, and conflict disclosure.
TRACE Reporting
Trade Reporting and Compliance Engine (TRACE) requires same-day reporting of fixed income transactions. Late or inaccurate reports trigger fines that compound quickly.
Outside Business Activities
FINRA Rule 3270 requires prior written notice for any OBA. Supervisory gaps — especially for remote reps — are among the most commonly cited deficiencies.
Cybersecurity Obligations
FINRA's cybersecurity guidance (Regulatory Notice 21-18) and related exam priorities increasingly flag firms without written incident response plans and vendor due diligence programs.
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Weekly FINRA recap
Every Monday — the week's most important FINRA updates in your inbox. Free, no account needed.
Archive
Full FINRA history
Browse every FINRA action RegAxis has detected — searchable, filterable, and linked to the original source.