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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).
New Rate for Fees Paid Under Section 31 of the Exchange Act
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
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).
FINRA Reminds Firms of November 25, 2014 Exercise Cut-Off Time for Weekly Options Expiring on the Friday After Thanksgiving
2019 and First Quarter of 2020 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
FINRA Surveys to Update the Series 4, 9 and 10 Qualification Examinations
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(a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade through its trading facilities and that consists of stocks whose inclusion and relative representation in the group are
2019 Holiday Margin Extensions Schedule
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).