EBS Submissions Following Implementation of the Option Symbology Initiative
The Financial Industry Regulatory Authority (FINRA) today issued an updated Investor Alert warning international investors about a new twist in advance-fee fraud involving low-priced US securities. Con artists have been misusing FINRA's name and impersonating FINRA employees in email communications in an apparent attempt to lend a false air of legitimacy to their schemes
Washington, DC - The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed rule amendments that would require registered firms - for the first time - to report allegations of sales practice violations against an individual broker made in arbitration claims or civil lawsuits that do not name the broker as a respondent or defendant.
SummaryFINRA reminds members of its policy prohibiting members and their associated persons from making audio or video recordings of conversations between FINRA staff and member firm personnel during calls or meetings related to FINRA’s oversight functions.Questions regarding this Notice should be directed to Carrie Jordan, Principal Counsel, Office of General Counsel, at (212) 858-4210 or by
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Wachovia Capital Markets, LLC $300,000 for violations of FINRA's research analyst conflict of interest disclosure rules."This case strikes at the heart of FINRA's research disclosure program, which was put into place in 2002 in part to combat incentives
The Neutral Corner - Volume 1—2023
FINRA Consolidates the Collection of Short Interest Data; Effective Date: May 15, 2008
Investor protection is an integral part of FINRA's mission. Our Investor Insights and other resources can help you build knowledge and avoid problems such as the latest frauds, which all too often are perpetrated by people outside FINRA's jurisdiction.Investor InsightsKeep informed about new or complex products, scams and other investing issues. Learn more.Ask and CheckLearn
As a reminder, FINRA is introducing a new system for FINRA member firms to submit the FINRA Participation Agreement and manage TRAQS users. Beginning January 31, 2022, FINRA member firms will access the Participant Data Management System to complete these functions. The Participant Data Management entitlement was granted to all existing FINRA Participant Agreement and FINRA Order Form
Given the growth of the international prime brokerage (IPB) business, FINRA recently interviewed representatives from many of the largest prime brokerage firms to determine how this business is conducted.
