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).
Before you go on a spending spree to show your love this Valentine's Day, try a different tactic this year and get on the same page about debt. It might just be the key to building a stable and happy future together.
FINRA Warns of Fraudulent Phishing Emails Targeting Member Firms
Covered Agency Transactions
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Margin Department
Operations
Regulatory Reporting
Risk Management
Senior Management
Key Topics
Covered Agency Transactions
Margin
Referenced Rules & Notices
FINRA Rule 4210
Regulatory Notice 16-31
Regulatory Notice 17-28
Regulatory
Effective Feb. 3, 2020, FIX will be the only protocol supported for reporting trades to FINRA's TRACE and ORF platforms.
FINRA experienced an issue this morning with the processing of Weekly OTC Transparency Data, thereby causing a publication delay for the week of January 21, 2019 (Tier 1). The issue has now been resolved and all files and data have been published.
If you have any questions, please contact [email protected].
Pursuant to the Regulation NMS Plan to Address Extraordinary Market Volatility (Plan) (see Section VI(A)(1)), transactions that both (1) do not update the last sale price (except if solely because the transaction was reported late) and (2) are excepted or exempt from the SEC's trade-through rule (Reg NMS Rule 611) can be executed outside the price bands.
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Exemptive relief is granted based on representations that: the MFP/MAP made the contribution during a period of retirement prior to his employment as an MFP/MAP; the Firm discovered the contribution through its pre-employment due diligence process; the MFP/MAP requested a refund of the contribution; the Firm hired the MFP/MAP for reasons unrelated to the contribution; the Firm has a long-standing relationship with the City ; the contribution was not related to any business with the City; and the MFP/MAP will be prohibited from involvement in municipal securities and municipal advisory business with the City for a period of time.
Sixteen Libraries in Eight States Each Received $5,000 to Expand Personal Finance Collections and Educate Consumers About Financial Fraud
WASHINGTON – This holiday season, the FINRA Foundation is giving back to local libraries to help them provide resources to communities impacted by some of the nation’s most devastating and deadly natural disasters this year.
In an effort to help residents in
