invest1 distinct publisher
Off-channel enforcement moves from a $2.3bn SEC docket into FINRA's unpublished exam files
The prior SEC brought 95 recordkeeping actions carrying $2.3 billion in penalties, roughly $24 million apiece, while FINRA's 2026 oversight report keeps finding the same retention and supervision gaps through exams that produce no published number.
Publishers:cpapracticeadvisor.com
Reality
- Evidence34
- Adoption
- Insufficient
- Hype gap+22
- Incentives68