SEC Approves Changes to Reduce the Waiting Period for the Release of Information Reported on Form U5 Through BrokerCheck
Proposed Rule Change to Amend Rule 7620A Relating to FINRA/Nasdaq Trade Reporting Facility Fees
On this free, on-demand recording of a WebEx presentation, FINRA staff members discuss new and updated fixed income-related Report Cards.
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
SEC Approves Amendments to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
Alleged Misrepresentations Tied to Christopher Brogdon in Sales of $8 Million in Promissory Notes
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Cantone Research Inc. (CRI), of Tinton Falls, NJ, and its President, Anthony J. Cantone (Cantone), charging fraud in connection with the sales and subsequent extensions of more than
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 3110
FINRA Rule 5310
MSRB Regulatory Notice 2014-02
Notice to Members 06-58
Notice to Members 01-22
Notice to Members 99-12
Notice to Members 97-57
Rule 605 of SEC Regulation NMS
Rule 606
