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2023078794802 Carter, Terry & Company, Inc. CRD 16365 AWC vrp (2026-1769214002120).pdf

Since June 30, 2020, Carter Terry has failed to establish, maintain, and enforce a supervisory system, including written supervisory procedures (WSPs), reasonably designed to achieve compliance with the Care Obligation of Rule 15l-1 of the Securities Exchange Act of 1934 (Reg BI) with respect to Unit Investment Trust recommendations. Carter Terry therefore violated FINRA Rules 3110 and 2010.

SR-FINRA-2025-015

Rule Filing Status: Filed for Immediate Effectiveness

A proposed rule change to amend FINRA Rules 5220, 5320, 6220, 6272, 6279, 6320A, 6320B, and 7620A to conform to the new definition of “round lot” adopted by the Commission under Regulation NMS.