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).
In addition to this amount, LPL will also be paying restitution to eligible customers.
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
Proposed Rule Change Relating to Rule 4553 and Fees for Access to Alternative Trading System Volume Information Published on FINRA’s Website
Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Washington - FINRA commends Georgetown Law Professor Chris Brummer and other National Adjudicatory Council (NAC) members for their ongoing contributions to FINRA's mission despite online attacks.
Prof. Brummer and several other NAC members and FINRA staff have been the target of a number of disparaging online attacks. The attacks followed a decision by a NAC appellate panel, which upheld a
