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FINRA announced today that it has censured and fined Charles Schwab & Co., Inc. $2 million for net capital deficiencies and for related supervisory failures.
Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
Testimony Before Employee Benefits Security Administration Advisory Council on Employee Welfare and Pension Benefit Plans
Beginning on January 7, 2015, Amerossi Energy Corp New Common Stock ("AMRR") was incorrectly disseminated on the OTC Threshold Securities List.
The TRACE Detail Data Download is designed to accompany the TRACE Quality of Markets Summary Report Card as a tool to help a firm analyze and improve its compliance-related activities associated with reporting transactions via TRACE.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses.
These monthly reports cover trades of Treasuries, Securitized Products, Agency Bonds, and Corporate Debt that a member firm reported to the Trade Reporting and Compliance Engine (TRACE).
This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. (View the data for multiple days simultaneously here.) Learn more about bonds.
The advances,
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Ver en españolThis report addresses developments in FINRA’s Office of the Ombuds, our mission and role, how we help constituents, who contacted us in 2022, and topics they raised. This report also includes resources relating to those topics.To better serve our constituents, we offer assistance in both English and Spanish. As part of these efforts, and also to increase overall awareness about