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The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
I'm a retail investor. From my perspective, the entire reason for the (increasingly public) debate over short-selling regulations stems from the loopholes in reporting that are being exploited to the detriment of investors at all levels and to the detriment of the integrity of American markets at large. In this context, I believe the language in this Notice does not go far enough to allay my
Rule 4111 Compliance Tool – Lists of Expelled FirmsFINRA Rule 4111 (Restricted Firm Obligations) requires member firms that are identified as Restricted Firms to deposit cash or qualified securities in a segregated, restricted account; adhere to specified conditions or restrictions; or comply with a combination of such obligations. Rule 4111 establishes a multi-step, annual process through which
International Testing Delivery; Important Information About Advertising Filing Fees
TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENTS: SEPTEMBER 15, 1986.
The National Association of Securities Dealers, Inc. (NASD), requests comments on proposed revisions to Schedule D of the NASD By-Laws. Schedule D governs the operations of the NASDAQ System. The text of the proposed revisions is included as Attachment I. The text of the current Schedule
With the consolidation of NASD and NYSE Member Regulation, the Financial Industry Regulatory Authority (FINRA) became the largest non-governmental regulator for all securities firms doing business in the United States.
Every year, millions of seniors become victims of financial exploitation, resulting in billions of dollars in losses. That’s why FINRA worked to update Rule 4512 and implement Rule 2165 to help broker-dealer firms and their representatives protect their senior and other vulnerable adult customers. On this episode, we learn more.
Summary
The annual meeting of FINRA firms will take place on or about Friday, August 19, 2022, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 20, 2022.
The purpose of this Election
FINRA is a not-for-profit, self-regulatory organization dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our members’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek