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).
As part of FINRA’s Digital Experience Transformation, FINRA will begin consolidating most compliance system-generated notifications that are sent to firms into one notification system.
System-generated notifications will begin coming in a new format from:
E-mail: [email protected]
IP
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) to include calendar year 2022 inspection obligations through June
Please begin to investigate naked shorting that results in FTD’s and synthetics shares being over traded in AMC & GME stock symbols. Shorts need to cover their margin requirements instead of swapping futures in the derivatives market.
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
