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Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a fine of $275,000 against Credit Suisse Securities (USA), LLC, for failing to comply fully with one of the key terms of the 2003 Global Research Analyst Settlement.
The proposed amendment to FINRA 4560 is a laughable attempt at improving naked short selling internal control measures, actual regulatory action, or really any kind of further obligation on the part of the involved broker-dealers. There have been hundreds if not thousands of regulatory "actions" taken by FINRA related to short sale, and misreporting/misclassification of shorts. This
The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert called Beware of Fake Check Scams, warning the public about scams that target job-seekers and those looking to make a little extra cash.
As described in a December 2019 TRACE Technical Notice, beginning June 1, 2020, members were required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.
Due to current market conditions, and to allow members to adequately plan for this
Comments:Please allow an individual to make his or her own choices. The risk I take are mine, and mine alone. I rely on the SEC to keep thing honest, and to make sure people are informed. I have gained a great deal by employing higher risk index funds, and wish to continue. Thanks
Raising additional barriers to entry different types of investments runs a serious risk of exacerbating economic inequality. Public knowledge of investing topics has increased dramatically over the last few years as access to the market has improved for general public. There will always be those who choose riskier investments and there will always be those who choose safer investments, but it
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EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer, Form U-4, and the Uniform Termination Notice for Securities Industry Registration, Form U-5. The changes to
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
SR-FINRA-2008-062 - Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook