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Below are the summary conclusions and recommendations that the Rudman Committee released on Tuesday, September 19, 1995.
Overall Conclusions
Based on its Review, the Select Committee concludes that the NASD® has discharged its self-regulatory responsibilities, not of course with perfection or without
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).
Some students heading back to school this fall will see at least a bit of their classroom time devoted to personal finance, but that doesn’t mean the lessons should stop there. Here are six tips for parents looking to guide their kids toward wise money management at an early age.
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
A financial windfall might seem like an uncomplicated blessing, but found money of any size requires thoughtful management to maximize its full potential. Beneficiaries might find that they have an urge to splurge, are unsure how to invest their assets, or are targeted by fraudsters—any of which can lead to a money blunder.
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that in separate enforcement actions, it has permanently barred two brokers for running multi-million-dollar Ponzi schemes that victimized a wide range of investors — including elderly individuals, mentally and physically impaired individuals, church members and even family friends.
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
