Displaying 2191 - 2200 of 4655 Results
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD Regulation) is
Summary
The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military Communities
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) and the Association for Financial Counseling and Planning Education® (AFCPE®) announced today the recipients of 2023 FINRA Foundation Military Spouse Fellowship.
The data elements specified in Rule 7230A(d) are critical to FINRA's compilation of a transaction audit trail for regulatory purposes. As such, all member firms utilizing the trade reporting service of the System have an ongoing obligation to input 7230A(d) information accurately and completely.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2022. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 16, 2022. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 15, 2022
GUIDANCE
Short Interest Reporting
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Technology
Training
NASD Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to inform members of changes to the Regulation Filing
In observance of Independence Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, July 4, 2022. Affected applications include:
Alternative Display Facility (ADF)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface specifications, FINRA may send
Summary
FINRA warns member firms of a widespread, ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA officers, including Bill Wollman and Josh Drobnyk (see Attachment A). These emails have a source domain name “@broker-finra.org” and request immediate attention to an attachment relating to your firm. In at least in some cases, the emails do not actually include
WASHINGTON—FINRA today announced it has fined Citigroup Global Markets Inc. (CGMI) $1.25 million for failing to conduct timely or adequate background checks on approximately 10,400 non-registered associated persons spanning a seven-year period.
Federal securities laws require broker-dealers to fingerprint certain associated persons working in a non-registered capacity prior to or upon
Firm Ordered to Pay $4.4 Million in Restitution to Approximately 2,400 Affected Customers
WASHINGTON—FINRA announced today that Transamerica Financial Advisors, Inc. (TFA) has agreed to pay approximately $4.4 million in restitution to approximately 2,400 customers for failing to supervise its registered representatives’ recommendations of three different products - variable annuities, mutual