Displaying 1261 - 1270 of 1859 Results
Report Finds No Evidence of Improper Agreement to Remove Arbitrators From Cases; FINRA to Implement Recommendations to Provide Greater Transparency
WASHINGTON – FINRA today published the report of independent counsel Lowenstein Sandler LLP, which found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. FINRA also said it would promptly implement the report
Guidance to Members Affected by Hurricane Harvey
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud. In addition to new scams focusing on COVID-19, previous scams may also find new life as fraudsters adapt to and exploit recent events and related vulnerabilities, especially those related to the remote working environment.
FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD has amended its policy regarding the publication of disciplinary actions to provide that actions resulting in monetary sanctions of $10,000 or more will be published in the same manner as actions resulting in suspensions, bars, expulsions and/or revocations. The new policy will be implemented with respect to District
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 40 issues joining NASDAQ's National Market System on Tuesday, August 14, there will be over 1,053 issues trading under real-time trading reporting. These 40 issues meet the SEC's voluntary designation criteria.
The securities scheduled to join NMS on Tuesday, August 14, are:
SYMBOL
COMPANY
LOCATION
ACHV
Archive
REQUEST FOR COMMENT
Pandemic Regulatory Relief
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Registration
Senior Management
Systems
Trading
Business Continuity
Capital and Financial Reporting
Requirements
Extensions or Credit and Securities
Delivery
Filing and Reporting Requirements
Licensing
Operations
Supervision
Trade Reporting
Temporary Account
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We are pleased to share our 2021 Employee Resource Group Year in Review, which, in conjunction with our 2021 Diversity, Equity & Inclusion Report, describes our commitment to fostering a diverse and inclusive culture. The report highlights the activities of our 10 Employee Resource Groups (ERGs), including professional development, educational, networking and recruiting, and
Background
Input from our stakeholders indicated that they would welcome greater transparency regarding FINRA's budget, especially its financial projections and potential use of fines. FINRA for many years has published an Annual Financial Report that is prepared and audited in accordance with GAAP6 that describes the prior year's finances and operations. In the interest of promoting
(a) For purposes of the Rule 6300B Series, unless the context requires otherwise:
(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.
(2) "Designated securities" means all NMS stocks as defined in Rule 600(b)(47) of SEC Regulation NMS.
(3) "Member" means a broker or dealer admitted