By Alejandro Soto and Eric Bustillo ( October 2, 2026, 1:30 PM EDT) -- The U.S. Securities and Exchange Commission's May 28 opinion in a Financial Industry Regulatory Authority disciplinary proceeding is, on its face, a decision about the scope of FINRA's power under FINRA Rule 8210.[1] Read closely, it signals how the current commission expects its own enforcement program to operate, holding that FINRA does not lose its ability to compel testimony simply because it has issued a Wells notice....
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