Displaying 27281 - 27290 of 28151 Results
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
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 theMunicipal Securities Rulemaking Board (MSRB).
October 2018 Supplement to the Options Disclosure Document
Last year, as FINRA staff looked to adjust to a new exam and risk monitoring program structure, the industry and the world was struck with an unprecedented global crisis. On this episode, the second in a two-part series, we hear how the program adapted in the face of the pandemic before looking ahead to priorities for 2021.
/**/
Table of Contents
Figure 2.1 Total Number of FINRA-Registered Firms, 2015−2019
Figure 2.2 Firm Distribution by Size, 2015−2019
Table 2.2 Firm Distribution by Size, 2015−2019
Figure 2.3 Securities Industry Registered Firms by Type of Registration, 2010−2019
Table 2.3 Securities Industry Registered Firms by Type of Registration, 2010−2019
Figure 2.4 Distribution of Branches by Firm
2020 was a year of great change and transition for FINRA’s Exam and Risk Monitoring Program—and the pandemic wasn’t even the start of it. On this episode, the first in a two-part series, we hear how the program fared in its first year after a major transformation.
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
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).
The use of AI-based applications is proliferating in the securities industry and transforming various functions within broker-dealers. Some large firms have established centers of excellence to review, share, and build expertise and create synergies related to the use of AI across their organizations. In addition, firms are exploring and incorporating AI tools built by financial technology
New Rate for Fees Paid Under Section 31 of the Exchange Act