The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
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).
How can a firm find out which registered individuals have completed their current CE requirement?
Firms will continue to have access to dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.
Can firms set up notifications for registered individuals about their CE requirements?
FINRA has updated the FAQ on the Eligibility Proceedings for Firms Participating in the MCDC Initiative.
FINRA publishes this quarterly review to provide firms with a sampling of recent July 2015 disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and SEC decisions in FINRA cases).
Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Pursuant to FINRA Rule Filing SR-FINRA-2015-23, dated June 29, 2015, effective Monday, July 13, 2015, FINRA will delete Rule 4553, “Fees for ATS Data,” in its entirety.
Proposed Rule Change to Amend FINRA Rule 7650A Relating to Submission of Billing Disputes by FINRA/Nasdaq Trade Reporting Facility Participants
