FINRA today announced it has fined Deutsche Bank Securities Inc. $12.5 million for significant supervisory failures related to research and trading-related information it disseminated to its employees, called ‘hoots’ or ‘squawks,’ over internal speakers commonly known as ‘squawk boxes.’
FINRA Announces Changes Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council
CheckWire Payments Reflected In CRD Accounts
Proposed Rule Change Relating to Motions to Dismiss in Arbitration
Executive Order Targeting Terrorists; Exams Now Offered In Singapore
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NASD Rule 2860
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On December 13, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860.1 The amendments:
(1)
apply
FINRA announced today that it has fined Barclays Capital Inc. $1.3 million for systemic and significant Order Audit Trail System (OATS) reporting violations and related supervisory failures.
FINRA is conducting an inquiry with respect to non-traded Business Development Companies (“BDCs”).
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The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration began its
