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The Technology is Designed to Enhance Firms’ Compliance Efforts, Reduce Costs and Aid in Risk Management
WASHINGTON—FINRA announced today that it has launched a machine-readable rulebook initiative designed to enhance firms’ compliance efforts, reduce costs and aid in risk management.
FINRA developed the machine-readable rulebook through the creation of an embedded taxonomy—a method of
Washington—FINRA announced today that it has ordered Merrill Lynch, Pierce, Fenner & Smith Inc. to pay more than $7.2 million in restitution and interest to customers who incurred unnecessary sales charges and paid excess fees in connection with mutual fund transactions. The firm did not have supervisory systems and procedures reasonably designed to ensure that these customers, who
New Member Applications
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Legal & Compliance
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Executive Summary
NASD is issuing this Notice to inform members and applicants for membership
Every day at FINRA, we protect investors from misconduct, stop fraud and provide restitution to harmed customers. And we are successful—in part because customers and other members of the public provide information and crucial evidence during the course of an investigation.
Summary
FINRA is soliciting comment on a proposal to amend Rule 6730 to reduce the Trade Reporting and Compliance Engine (TRACE) trade reporting timeframe for transactions in all TRACE-Eligible Securities that currently are subject to a 15-minute reporting timeframe. Specifically, members would be required to submit a report to TRACE as soon as practicable (as is currently the case), but no
During your first week at a new job, you typically focus on the basics – locating your office, setting up your computer and getting acquainted with new colleagues and acronyms. If you're Greg Ruppert, who joined FINRA on March 23, 2020 as the new Executive Vice President, National Fraud and Financial Crimes Detection Programs (NCFC), you mark your first week by establishing FINRA's
FINRA has been on a hiring spree, working to fill scores of open positions. But given that almost all employees are working remotely as a result of the coronavirus outbreak, how are these new hires getting the equipment to start work from home?
The solution: “FINRA in a Box.”
That’s what staff call the package FINRA sends to new hires, containing a laptop, onboarding instructions, introductory
Protect yourself from hackers. Learn about the seven ways hackers may learn information through social media that can help them access your accounts.
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Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The second session of the 102nd Congress, which adjourned on October 9, 1992, passed only one major bill of direct interest to the securities industry, the Futures Trading Practices Act. Other proposed securities
Why are we being treated like children and we are limited to only big companies or wall street firms? I can read and like a big person. my mother doesn't need to cut my meat (and I manager her money as a matter of fact) . So since I am a grown person I don't need the govt treat me like a child and limit what I can invest in or not. It always seems if the market crashes you limit