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September 29, 2022

FINRA's National Adjudicatory Council revised its Sanctions Guidelines to more accurately reflect the levels of sanctions imposed in disciplinary proceedings.

September 29, 2022

A broker-dealer settled FINRA charges for failing to preserve employees' business-related text messages. The settlement was part of a larger joint agency sweep to assess compliance with recordkeeping and supervision requirements related to "off-channel" communications involving employees' personal devices.