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New FINRA Report Aims at Making Enforcement a Little Less Painful

July 28, 2026

United States
United States
United States
The Daily Upside

A recent external review of FINRA's enforcement program has produced 24 recommendations—covering governance, transparency, due process, and operational efficiency—that build on reforms already underway and, if widely adopted, could streamline investigations and make the enforcement process significantly less burdensome for member firms and advisors.

In an interview with The Daily Upside, partner Brian Rubin provided industry perspective on the report, emphasizing that the proposed changes are designed to reduce procedural friction, improve fairness and transparency in investigations, and allow firms and regulators to focus on the substance of potential violations rather than administrative hurdles.

“The goal is to get procedural issues out of the way so that the parties involved in an investigation can really focus on whether there are violations happening and whether firms or individuals should be sanctioned for them,” Brian said.

The materials on the Eversheds Sutherland website are for general information purposes only and do not constitute legal advice. While reasonable care is taken to ensure accuracy, the materials may not reflect the most current legal developments. Eversheds Sutherland disclaims liability for actions taken based on the materials. Always consult a qualified lawyer for specific legal matters. To view the full disclaimer, see our Terms and Conditions or Disclaimer section in the footer. Eversheds Sutherland is a provider of legal and other services operating through various separate and distinct legal entities. For further information about these entities and Eversheds Sutherlands' structure please see the Legal Notice page of this website.

Key contacts

brianrubin@eversheds-sutherland.com

Brian L. Rubin

Partner

Washington, DC, United States

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