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The National Association of Securities Dealers, Inc. (NASD®) 2001 Broker/Dealer and
Five Firms Ordered to Pay More than $6 Million to Customers
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined eight firms, including VOYA Financial Advisors, five broker-dealer subsidiaries of Cetera Financial Group, Kestra Investment Services, LLC, and FTB Advisors, Inc., a total of $6.2 million for failing to supervise sales of variable
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The NASD published the following Notices to Members during 1996. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set, indexed reprint of the entire
FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
The Trusted Contact Persons 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.
(a) Transaction Related Charges
The following charges shall be paid by the participant for trade reporting to the OTC Reporting Facility. In the case of trades where the same market participant is on both sides of a trade report, applicable fees assessed on a "per side" basis will be assessed once, rather than twice, and the market participant will be assessed applicable charges
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Variable Contracts
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $25 per monthly or
WASHINGTON—FINRA announced today that it has fined Barclays Capital Inc. (Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’ electronic equity orders.
From January 2014 through February 2019, Barclays Capital owned and operated an alternative trading system known as LX. Barclays Capital routed all its customers’ marketable
SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Beginning Monday, October 30, 2023, FINRA will limit the number of unsuccessful TRAQS login attempts from 10 to five before the user is locked out of their account. This affects both the Nasdaq Test Facility (NTF) and production FINRA TRAQS websites.
FINRA has also made minor cosmetic changes to the MFA process; beginning October 30, 2023, it will:
Remember the user's last-used security