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I oppose the proposed Rule#S7-24-15 for the following reasons: 1. You have no right to decide for the public into what vehicle the public can invest their own funds. 2. You have no right to decide which individuals are allowed the right to invest. 3. You are creating a discriminatory system for investors decided by agencies on what is available. You are basically creating a secret system
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined five broker-dealers for understating the amount of total commissions charged to customers in trade confirmations and on fee schedules by mischaracterizing a portion of the commission charges as fees for handling services.
A succession plan is vital to ensuring the continued success of your firm. Join FINRA staff and industry panelists as they discuss considerations for developing a succession plan that works for your business.
FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases). These summaries call attention to, and remind registered representatives and firms of, specific conduct that violates FINRA rules and may result in disciplinary action.
Firm executives can get involved with FINRA’s process through committee service, comment letters and other methods. FINRA has many opportunities for firms to be involved with its committees. The Regional Committees, Small Firm Advisory Committee, National Adjudicatory Council, and Board of Governors all hold annual elections. Many firm executives looking to get involved in the FINRA process have
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined E*Trade Securities LLC $900,000 for failing to conduct an adequate review of the quality of execution of its customers’ orders and for supervisory deficiencies concerning the protection of customer order information.
E*Trade provides online securities investing and trading services for
Former AML Compliance Officer Fined and Suspended
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Raymond James & Associates, Inc. (RJA) and Raymond James Financial Services, Inc. (RJFS), a total of $17 million for widespread failures related to the firms’ anti-money laundering (AML) programs. RJA was fined $8 million and RJFS was fined
(a) Locked-in trades may be determined in the System 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 trade report and accepts or declines the trade. An acceptance results in
(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