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Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred two brokers from the Boca Raton branch office of the now defunct brokerage firm, SAMCO Financial Services, Inc. - and suspended a third broker for two years - for misconduct in connection with selling complex mortgage-backed securities called Collateralized Mortgage Obligations (CMOs) to retail customers.
As you consider which types of financial professionals to work with, here’s what you need to know about accountants. Accountants are trained to provide professional assistance to individuals and companies in areas including tax and financial planning, tax reporting, auditing and management consulting.
Sec. 2. (a) Application by any person for registration with the Corporation, properly signed by the applicant, shall be made to the Corporation via electronic process or such other process as the Corporation may prescribe, on the form to be prescribed by the Corporation and shall contain:
(1) an agreement to comply with the federal securities laws, the rules and regulations thereunder, the
Sec. 1. (a) Application for membership in the Corporation, properly signed by the applicant, shall be made to the Corporation via electronic process or such other process as the Corporation may prescribe, on the form to be prescribed by the Corporation, and shall contain:
(1) an agreement to comply with the federal securities laws, the rules and regulations thereunder, the
(a) Application — For the purposes of this Rule, the term "member" shall be limited to any member of FINRA who is subject to SEA Rule 15c3-3 and is not designated to another self-regulatory organization by the Commission for financial responsibility pursuant to Section 17 of the Exchange Act and SEA Rule 17d-1 promulgated thereunder. Further, the term shall not be applicable to any
/01 Automatic Money Market Fund Redemptions
Member organizations that establish an automatic money market fund redemption program for customers having both a securities and money fund account, wherein the customer may elect to have securities purchases paid for via an automatic liquidation of fund shares, will not be required to obtain a customer's written authorization provided that:
1
This report illustrates capped average size trading volumes in corporate, agency and structured products reported for the prior month. Volume cap is the amount of tax-exempt financing available for certain types of private companies or developers in a calendar year. A project must obtain an award of volume cap before it can have tax-exempt bonds issued. Learn more about corporate, agency and
(a) Locked-in trades may be determined in the System by matching the trade information submitted by the Reporting Parties through one of the following methods:(1) Trade by Trade MatchBoth parties to the trade submit transaction data and the System performs an on-line match;(2) Trade AcceptanceThe Reporting Party enters its version of the trade into the System and the contra party reviews the
(a) Locked-in trades may be determined in the System by matching the trade information submitted by the Reporting Parties through one of the following methods:(1) Trade by Trade MatchBoth parties to the trade submit transaction data and the System performs an on-line match;(2) Trade AcceptanceThe Reporting Party enters its version of the trade into the System and the contra party reviews the
OverviewThe Capital Acquisition Broker (“CAB”) Written Supervisory Procedures Checklist (“WSP Checklist”) is an outline of selected key topics representative of the business activities typically engaged in by CAB members and permissible under FINRA’s CAB Rules. A complete copy of the CAB Rules can be found here: https://www.finra.org/rules-guidance/rulebooks/capital-acquisition-broker-rulesFINRA