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Regulatory Obligations and Related Considerations
Regulatory Obligations
Exchange Act Rule 15c3-1 (Net Capital Rule) requires that firms must at all times have and maintain net capital at specific levels to protect customers and creditors from monetary losses that can occur when firms fail. Exchange Act Rule 17a-11 requires firms to notify FINRA in the event their net capital falls below the “
Exemption Reporting Under SEA Rule 15c3-3(k) - Frequently Asked Questions
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Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Los Angeles-based Westpark Capital, Inc. to pay a total of $400,000 for supervisory system failures, and has suspended two officers for failing to supervise brokers in two now-closed Long Island branches who churned customer accounts and engaged in unauthorized and unsuitable trading in multiple accounts.
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined five broker-dealers a total of $385,000 for the illegal sale of more than 8 billion shares of penny stock on behalf of their customers.
GUIDANCEIPO Distribution ManagerVoluntary Effective Date: March 23, 2004Mandatory Effective Date: April 16, 2004SUGGESTED ROUTINGKEY TOPICSCorporate FinancingInstitutionalLegal & ComplianceOperationsSenior ManagementSyndicateTrading & Market MakingTrainingFree-Riding and WithholdingIPO Distribution ManagerIPOsRetentionRule 2790Underwriting CommitmentExecutive SummaryTo coincide
Washington, DC - The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation and United Way Worldwide (UWW) have announced nearly $1.5 million in grants to 12 recipients to extend the reach of community-based financial education programs across the country.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Penson Financial Services, a Dallas-based securities clearing firm, $450,000 for failing to establish and implement an adequate anti-money laundering (AML) program to detect and trigger reporting of suspicious transactions, as required by the Bank Secrecy Act and FINRA rules and other violations.
WASHINGTON—FINRA announced today that Susan Schroeder plans to leave FINRA later this year, after leading the Department of Enforcement since 2017. Schroeder led the consolidation of FINRA’s enforcement functions into a new, unified group. The consolidated enforcement team now comprises 340 employees working in New York, Rockville, and 14 district offices handling disciplinary actions from across
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