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2025085574001 Douglas J. McCauley CRD 1257811 AWC vr.pdf

McCauley refused to provide information and documents requested pursuant to FINRA Rule 8210. As a result, McCauley violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities...

25-01157.pdf

23-02515(3).pdf

Motion to Vacate

Navigating the 2026 Regulatory Oversight Report: Key Insights from FINRA Leadership

On this episode, FINRA leaders discuss the 2026 Regulatory Oversight Report, covering emerging threats from AI and crypto, evolving fraud schemes, cybersecurity risks, effective practices, and more. Learn how firms can leverage the information in the report for strengthened compliance planning.

Insight

FINRA Publishes 2026 Regulatory Oversight Report to Empower Member Firm Compliance

Report Highlights Trends in Generative AI, Small Cap and Cyber-Enabled Fraud, Among Other Topics

24-02475.pdf

Insight

Upcoming FINRA Board Meeting

25-01355.pdf

25-01283.pdf