Tr?id=566623520170033&ev=PageView&noscript=1

ÍøÆØ³Ô¹Ï

FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

Posted on June 30th, 2026 at 12:23 PM
FINRA Signals Stronger Enforcement Focus on Reg BI, Excessive Trading, and Best Execution

From the desk of Jim Eccleston at ÍøÆØ³Ô¹Ï

The Financial Industry Regulatory Authority (FINRA) plans to intensify its enforcement efforts against Regulation Best Interest (Reg BI) violations, excessive trading, options trading, churning, and best execution failures after bringing a record number of retail investor protection cases in 2025, according to ThinkAdvisor.

FINRA officials announced the heightened enforcement focus during the regulator's annual conference while discussing a comprehensive review of its enforcement program that is expected to conclude by July 1. As ThinkAdvisor reports, FINRA plans to release a public report outlining potential reforms and intends to develop a public enforcement manual similar to the one used by the SEC.

FINRA also continues to prioritize enforcement matters involving market integrity, operational risk, and repeat offenders with significant disciplinary histories. According to ThinkAdvisor, Matthew Minerva, Vice President and Chief Counsel in FINRA's Department of Enforcement, identified pump-and-dump schemes involving small-cap issuers as an ongoing concern because retail investors frequently suffer substantial losses after inflated stock prices collapse.

The regulator also plans to continue investigating small-cap initial public offerings involving foreign-based issuers and underwriters as part of an ongoing regulatory initiative, ThinkAdvisor reports.

At the same time, FINRA officials emphasized a more collaborative approach to enforcement. According to ThinkAdvisor, the regulator has implemented procedural reforms that include introductory meetings with firms, investigative findings conferences, and expanded opportunities for firms to respond before FINRA issues cautionary action letters or requests for information.

ÍøÆØ³Ô¹Ï LLC represents investors and financial advisors nationwide in securities, employment, transition, regulatory, and disciplinary matters.

Tags: eccleston, eccleston law, finra enforcement, regulation best interest, excessive trading, best execution, securities regulation

Return to Archive

TESTIMONIALS

Previous
Next
Quotes Bigger

Thank You from the bottom of our hearts for all you have done for us. When we realized this was a very bad investment - we did not know where to turn for help. Then we received your name. When we called you - you were so kind to us and then agreed to help us. For this we are so very grateful. The world would be a much nicer place if there were more people like the two of you in it. ÍøÆØ³Ô¹Ï will always remember all the help and kindness you have shown us. Thank you so very very much for everything.

Wayne and Judy S.

LATEST NEWS AND ARTICLES

1783434190 Law
July 7, 2026
Private Credit Funds Face Mounting Redemption Pressure as Investor Sentiment Shifts

A surge in investor redemption requests has intensified pressure on private credit funds, raising concerns about liquidity and long-term stability across the asset class, as reported by The Wall Street Journal.

1783357679 Law
July 6, 2026
Schwab Imposes New Limits on Tax-Aware Long-Short Investment Strategies

Charles Schwab Corp.

1783012078 Law
July 2, 2026
Financial Services Institute Backs New Jersey Bill Protecting Independent Advisor Model

The Financial Services Institute (FSI) has urged New Jersey lawmakers to advance legislation that would help preserve the independent contractor status of financial advisors operating in the state.