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Report From FINRA Board of Governors Meeting – September 2025
FINRA’s Board of Governors met September 17-18. The Board announced the approval of four rule proposals, approved proposed amendments to FINRA’s pattern day trading rules, and received updates on the FINRA Forward initiative, the Consolidated Audit Trail and FINRA’s cybersecurity program.
2024082245501 Clark James Kline CRD 4362678 AWC lp (2025-1761178803818).pdf
Between August 2023 and April 2024, Kline made payments totaling approximately
$180,000 from funds credited to his Morgan Stanley brokerage account as a result of
multiple transfers sent from his personal bank account, when he knew that his personal
bank account lacked funds to cover the transfers. By doing so, Kline violated FINRA
Rule 2010.