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.
Proposed Rule Change to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
Answers to frequently asked questions regarding FINRA Rule 3310 and AML program requirements.
The Private Placements topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Veterans who are female, younger, married, divorced or separated, or who have children are faring worse than their veteran peers
WASHINGTON — The financial well-being of U.S. military veterans has improved in recent years, outpacing the gains of non-veterans, according to new research by the FINRA Investor Education Foundation. Veterans, overall, reported having less difficulty covering their
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 2, 1986, 30 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,687. These 30 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
Dear Regulators,
How else can you exclude me (us) from the chance to acquire some wealth?
I have managed my personal finances for decades and with much success, my investments, me not a broker, not a firm, but me/myself.
My ability to choose my course of action is mine, not yours. This is a capitalist society, why should you tell me where to invest. These are legal public options. Although,
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 24, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACPV.GA
Advanta Corp.
7.100
10/23/00
AEII.GA
AEI Resources
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced its first enforcement action involving the sales of reverse convertible notes (RCNs)
Amendments to the SEC’s Financial Reporting Requirements—eFOCUS System Updates and Annual Audit Requirements
