Download the newly-published specifications for the data collection requirements of the Tick Pilot NMS Plan.
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
FINRA announced today that it has fined Aegis Capital Corp. $950,000 for improperly selling unregistered penny stocks and for related supervisory failures, and for failing to implement anti-money laundering (AML) policies and procedures.
Proposed Rule Change to Adopt FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) in the Consolidated FINRA Rulebook
From the FINRA 2015 Annual Conference, a panel discussion about ways to get involved via committee service, elections, and comment letters.
The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2015 Annual Meeting today in Washington, D.C.
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
FINRA announced today that it has fined Goldman Sachs Execution & Clearing, L.P. $1.8 million for systemic OATS reporting violations, failure to accurately submit required trade reports, and related supervisory failures.
