FINRA published six regulatory notices in its first major batch of the year including Notices 26-01 and 26-02, seven advisory firms deregistered including Swiss Re Insurance-Linked Investment Management and Janney Capital Management, Capital One closed its McLean headquarters branch, and FINRA published its latest disciplinary actions compilation across 31 total events.

FINRA Publishes Six Regulatory Notices

FINRA released six regulatory notices spanning new 2026 guidance and late-2025 updates now entering their comment periods. Regulatory Notice 26-02, published January 8, opens a comment period closing March 9 — placing it among the first substantive rulemaking proposals of the year. Regulatory Notice 26-01, published January 2, provides guidance on reviewing and reconciling Final Statements in the E-Bill system. Additional notices include 25-19 (published December 29), 25-18 (December 9), 25-17 (December 4), and 25-05 from last March regarding a pending SEC rule change.

The six-notice batch represents FINRA's standard January regulatory communication cycle, when accumulated late-year guidance and new-year proposals are consolidated for member firm attention.

FINRA Publishes Disciplinary Actions

FINRA published its latest compilation of disciplinary actions — the periodic release that aggregates enforcement outcomes including fines, suspensions, bars, and expulsions. The publication provides the industry with a comprehensive view of FINRA's enforcement activity and serves as a compliance reference for member firms evaluating their own supervisory programs against the regulator's enforcement priorities.

Seven Advisory Firms Close in International Cleanup

Seven advisory firms deregistered — the highest single-day closure count since the year-end batch on January 3. The closures carry an international flavor: Swiss Re Insurance-Linked Investment Management Ltd in Zurich and Trilantic Capital Partners LLP in London both deregistered from SEC registration, reflecting the continued rationalization of European firms' U.S. advisory registrations.

Domestically, Janney Capital Management LLC in Pittsburgh deregistered — notable as a subsidiary of Janney Montgomery Scott, one of the nation's oldest full-service broker-dealers. The closure likely reflects a consolidation of advisory operations within the Janney corporate family rather than a business wind-down. First National Advisors in Rockland, Massachusetts, Integrity RIA in Lafayette, Louisiana, and Puissance Capital Management also deregistered.

Capital One Closes McLean Headquarters Branch

Capital One, NA closed a branch at 1680 Capital One Drive in McLean, Virginia — the bank's corporate headquarters address. The closure of a branch at the headquarters campus — just one day after receiving fiduciary powers authorization from the OCC — suggests a consolidation of physical banking services as the bank focuses on digital delivery channels. U.S. Bank simultaneously closed and re-established a branch at 425 Walnut Street in Cincinnati, indicating an in-place restructuring at the bank's Ohio operations.

Five New Firms Registered

Five new advisory firms registered — three immediately and two entering the 120-day process — against the seven closures, producing a net loss of two firms for the day. The negative net formation is the first of 2026, though the year-to-date total remains strongly positive.

Across the Wire

Four OCC branch actions were processed — two establishments and two closings. Two SEC announcements were published, including an order directing additional briefs in the Roberto Mejill-Tellado matter. Three vendor changes were recorded across broker-dealers. E & G Advisors in the advisory channel changed its legal structure from LP to LLC. The day's 31 events were driven by FINRA's regulatory notice batch and the advisory channel closure wave.

All data sourced from FINRA BrokerCheck, SEC EDGAR, OCC, and the Finleet Terminal as of January 14, 2026. Entity profiles are available at terminal.finleet.com.