Digital Experience Transformation Invites Firms to “Help Us Design the Future” of Compliance Reporting and Management
WASHINGTON – FINRA announced today that it is launching an initiative to transform the digital platform that firms use to engage with FINRA across several programs. The Digital Experience Transformation, as it is being called, is a wide-ranging, multi-year effort to integrate and
I am against the test requirement -- there are a lot of people like me who are beyond 75 years old and have experience investing in this type of investments and self-limit their investments not to go over certain limit and are NOT COMFORTABLE GIVING TESTS.
FINRA, NASWA Deliver Job Dislocation Resource to Unemployed Workers in All 50 States
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Senior ManagementInstitutionalLegal & ComplianceOperationsSystemsTrading
Executive Summary
On December 23, 1993, the Securities and Exchange Commission (SEC) issued an order approving amendments to the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). The new rules prohibit short sales in SOES; reduce the largest eligible SOES order from 1,
REQUEST FOR COMMENTFairness Opinions Issued by MembersComment Period Expires: January 10, 2005Note: The comment period was extended to February 1, 2005.SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFairness OpinionsInvestment Banks Mergers and AcquisitionsProxy StatementsExecutive SummaryNASD is requesting comment on whether it should propose a new rule that
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co., Inc. $675,000 for charging unfair prices in municipal securities transactions and for failing to have an adequate supervisory system.
WASHINGTON—FINRA announced today that it has fined Deutsche Bank Securities, Inc. $2 million for failing to comply with its obligation to seek best execution for its customers’ orders.
“The duty to seek best execution for customer orders is a fundamental obligation of any broker-dealer that buys or sells securities on behalf of customers,” said Jessica Hopper, Executive Vice President and Head
FINRA Investor Education Foundation and United Way Worldwide Announce More Than $1 Million in Grants to Support Grassroots Financial Education Projects
Innovation and collaboration are two of FINRA’s four core values. Michael Hawman, Director of Technology for Delivery Services, returned to FINRA after participating in AWS re:Invent in 2022 with a proposal that would align these two values for FINRA’s business and technology divisions.
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
