WASHINGTON – The Financial Industry Regulatory Authority (FINRA) wants investors to start 2016 on the right financial foot and is offering several suggestions to help investors step back and take stock – literally and figuratively – of their investment portfolios.
“The dawn of a new year is an ideal time to assess your progress toward your investment goals, and make adjustments as needed,” said
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Daily Market Activity Soars 87 Percent to New Record
28 of the 30 Most-Active Dates in History Occur in 4Q 2018
New High of 135 Billion Records/Day Almost Quadruples 2017’s Daily Average
Before 2018, All-Time High Was 75 Billion Records in Single Day; That’s 34 Billion Fewer Than an Average Day in December 2018
WASHINGTON — Exceptional market volatility generated an
NASD® has taken disciplinary actions against the following firms and
individuals for violations of NASD rules; federal securities laws, rules
and regulations; and the rules of the Municipal Securities Rulemaking
Board (MSRB). The information relating to matters contained in this Notice is current as of the end of November 2006.
The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
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).
Effective Date: September 4, 1997
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
On September 4, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the definition of "qualified independent underwriter" in Rule 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules that eliminates the
FINRA's premier event—the Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today's most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and much more.
Agenda
All times are listed in Eastern Time.
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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 theMunicipal Securities Rulemaking Board (MSRB).