2018060924101 Credit Suisse Securities (USA) LLC CRD No. 816 AWC gg (2023-1690158072457).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060924101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Credit Suisse Securities (USA) LLC (Respondent) Member Firm CRD No. 816 Pursuant to FINRA Rule 9216, Respondent Credit Suisse Securities (USA) LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

SR-FINRA-2023-009

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Section 1(b) of Schedule A to the FINRA By-Laws to exempt from the Trading Activity Fee (“TAF”) any transaction by a proprietary trading firm that occurs on an exchange of which the proprietary trading firm is a member.

Preventing Financial Exploitation: Steps for Safeguarding Senior Investors

In recent years, FINRA created the first uniform National Senior Investor Protection Standards. On this episode, we hear an update on where those senior investor protection rules stand today, explore some of the real-world scenarios in their application and provide tips for some of the tricky conversations that financial professionals might face in connection to their application.
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