Registered Representative Cesar Rodriguez Barred for Fraud and Improper Use of Customer Funds
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that Avenir Financial Group, its CEO Michael Clements, and registered representative Karim Ibrahim aka Chris Allen consented to an order halting further fraudulent sales of equity interests in the firm and promissory notes
Upcoming FINRA Board of Governors Election
On Monday, June 1, 2015, FINRA will implement changes that affect TRACE reporting requirements, TRACE data feeds and TRACE reference data.
Proposed Rule Change to Adopt FINRA Rule 2272 to Govern Sales or Offers of Sales of Securities on the Premises of Any Military Installation to Members of the U.S. Armed Forces or their Dependents
FINRA found that RBC failed to have supervisory systems reasonably designed to identify transactions for supervisory review when reverse convertibles were sold to customers, in violation of FINRA's rules as well as the firm's own suitability guidelines.
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Effective Monday, April 27, 2015, the FINRA TRAQS secure website and TRACE, ADF, and ORF Web API reference data files will no longer be accessible using the Secure Socket Layer (SSL) 3.0 protocol.
Proposed Rule Change to Delay the Implementation Date of Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14