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Report Finds No Evidence of Improper Agreement to Remove Arbitrators From Cases; FINRA to Implement Recommendations to Provide Greater Transparency
WASHINGTON – FINRA today published the report of independent counsel Lowenstein Sandler LLP, which found no evidence of an improper agreement to remove certain arbitrators from arbitration cases. FINRA also said it would promptly implement the report
Hedge funds, corporations, and other institutions have information and resources far beyond what the retail investor can access. Not only are these entities over leveraged compared to retail, some use their advantages to break laws and/or tilt the market in their favor. Incorrect marking of a position as long when their short. Continuous fail to delivers because of naked shorting. Trading in dark
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the third quarter of 2021. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 17, 2021. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 16, 2021
Washington, DC - The Financial Industry Regulatory Authority (FINRA) is proposing a major expansion of its Trade Compliance and Reporting Engine (TRACE) to include debt issued by federal government agencies, government corporations and government sponsored enterprises (GSEs), as well as primary market transactions in new issues.
WASHINGTON—FINRA announced today that it has fined Credit Suisse Securities $9 million for failing to comply with securities laws and rules designed to protect investors, including the Securities and Exchange Commission’s Customer Protection Rule and FINRA rules requiring firms to disclose potential conflicts of interest when issuing research reports. As part of the settlement, FINRA also
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).
Washington, DC - The FINRA Investor Education Foundation (Foundation) launched its fifth general grant program today, formally inviting non-profit groups and researchers to apply for funding for projects that support its mission of providing Americans with the knowledge, skills and tools necessary for financial success.
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EXECUTIVE SUMMARY
State participation in CRD Phase II, the Form BD (Uniform Application for Broker-Dealer Registration) and Form BDW (Uniform Request for Broker-Dealer Withdrawal) processing phase of the CRD system will begin
FINRA Fines 19 Firms a Total of $2.8 Million for Inaccurate Advertised Trade Volume Information
Sec. 6.2 The Corporation shall notify the members of the names of each nominee selected by the Nominating Committee for open National Adjudicatory Council seats that are Small Firm, Mid-Size Firm, and Large Firm seats, the qualifications of the nominee, and such other information regarding each nominee as the Nominating Committee deems pertinent. A person who has not been so nominated may be