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Cards Wire 5 segments
0:15
FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 10 claims 31 Oct 2026

FINRA records settled disciplinary action against First Citizens Investor Services

FINRA has entered a disciplinary record against First Citizens Investor Services, Inc. under case ID 2024080202401. The published entry confirms a settled action by consent, but the conduct at issue and any sanctions sit in the attached Letter of Acceptance, Waiver, and Consent rather than in the record itself. This briefing reports what the public entry states and flags what it does not.

  • FINRA's record names First Citizens Investor Services, Inc., CRD 44430, under case ID 2024080202401.
  • The matter is recorded as a Letter of Acceptance, Waiver, and Consent, document number dae65ab3.
  • The case entry lists an action date of 10/30/2026 and links to the full AWC as a separate attachment.
  • The conduct at issue and any sanctions are held in the attached document and do not appear in the public case record.
Source document
0:15
FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 11 claims 30 Oct 2026

FINRA posts settled action against broker Landon Beecham

FINRA has published a disciplinary entry recording a Letter of Acceptance, Waiver and Consent involving Landon Beecham. The public listing carries the case identifiers and action date but not the substantive findings, which sit in an attached document. This item covers what the listing itself establishes and flags how little can be said without the attachment.

  • FINRA recorded Case ID 2026090290701 against Landon Beecham, CRD 8134707.
  • The entry is classified as a Letter of Acceptance, Waiver and Consent (AWC), with an action date of 30 October 2026.
  • The listing references an attached document numbered 52995ea8 that is not reproduced in the metadata.
  • The published record does not state the conduct, findings or sanctions at issue.
Source document
0:15
FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 23 claims 28 Oct 2026

SEC clears FINRA rule letting brokers show performance projections to clients

FINRA's October 21 weekly update confirms SEC approval of a rule change allowing member firms to include performance projections in communications with investors, alongside several other near-term compliance deadlines. Compliance officers tracking advertising rules, underwriting compensation disclosure and qualification exam policy should note the staggered effective dates listed.

  • The SEC approved FINRA's amendment to Rule 2210 on Oct. 15, 2026, allowing performance projections and targeted returns in public communications subject to certain conditions.
  • FINRA has not yet set an effective date for the Rule 2210 amendment and will announce it in a future Regulatory Notice.
  • Regulatory Notice 26-19, published Oct. 21, amends Rules 5110 and 5123; the Rule 5123 changes take effect Oct. 21 and the Rule 5110 changes take effect Dec. 21.
  • Regulatory Notice 26-18, published Oct. 14, details shortened waiting periods for retaking failed qualification exams, effective Jan. 19, 2027.
  • Responses to the 2026 Customer Information Request are requested by Nov. 18, and SFAC/Regional Committee candidate forms are due by Nov. 19.
Source document
play
FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 18 claims 28 Oct 2026

FINRA drops principal approval for late bulk adviser order allocations

FINRA's Oct. 14 weekly update summarizes Regulatory Notice 26-17, which finalizes amendments to Rule 4515.01 governing how firms allocate bulk orders placed by investment advisers. The change is part of the broader FINRA Forward rule modernization effort and removes a specific post-trade review step for member firms.

  • FINRA Regulatory Notice 26-17, published Oct. 9, summarizes amendments to Rule 4515.01 on allocations of orders made by investment advisers.
  • The amendments eliminate the requirement that a principal review and approve allocations of bulk investment adviser orders received after trade date.
  • The notice text states the amendments take effect Nov. 16, 2026.
  • A separate Regulatory Reminders entry in the same FINRA update states the rule change takes effect Nov. 6.
  • The amendments are described as part of the FINRA Forward rule modernization initiative.
Source document
0:15
FINR FINRA Source document ↗
United States FINRA Conduct & Consumer ✓ 10 claims 28 Oct 2026

FINRA and SIFMA Foundation launch five-year investor education alliance

FINRA and the SIFMA Foundation announced a five-year partnership to expand financial education for young people, citing survey data on parental confidence gaps and the growth of youth-targeted investment products. The item is relevant to compliance and government affairs teams tracking regulator priorities on financial literacy and retail investor protection.

  • FINRA and the SIFMA Foundation announced a five-year strategic alliance on October 28, 2026 to expand investor education for young people.
  • A SIFMA Foundation survey found 92% of parents believe it is critical for children to learn about investing, while 78% lack confidence to teach investing basics at home.
  • The survey also found 76% of respondents believe financial education should start before high school.
  • The Stock Market Game, the Foundation's flagship program launched in 1977, has reached more than 24 million young people to date.
  • The announcement references new initiatives such as Trump Accounts and the growth of online investing apps and finfluencers as context for the alliance.
Source document