Displaying 24961 - 24970 of 28153 Results
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
(a) When Offer Allowed; No Stay of Proceeding
A Respondent who is notified that a proceeding has been instituted against him or her may propose in writing an offer of settlement at any time. If a Respondent proposes an offer of settlement before the hearing on the merits has begun, the making of an offer of settlement shall not stay the proceeding, unless otherwise decided by the Hearing
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).