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Instructions for Completing the FINRA Participation Agreement
FINRA’s Senior Vice President of Member Relations and Education Chip Jones, leads a discussion with Chief Information Security Officer John Brady, Senior Director Steve Polansky and Kansas City Surveillance Director Dave Kelley, on FINRA’s 2018 report on selected cybersecurity practices. The discussion includes an overview of the report, which highlights effective practices in five challenging areas that firms should consider to strengthen and further develop their cybersecurity programs—as well as core cybersecurity controls for small firms. (30 min. 17 sec.)
IPOs Included Facebook, Inc., General Motors Co., LinkedIn Corp., and Twitter Inc.
WASHINGTON - FINRA announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. for improperly selling shares in initial public offerings (IPOs) to industry insiders, including its employees’ immediate family members and customers who were brokers at other brokerage firms. Merrill Lynch
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Staff Economists
Lori Walsh | Vice President, Chief Economist
Paul Rothstein | Senior Director, Assistant Chief Economist (Member Conduct)
Harvey Westbrook, Jr. | Senior Director, Assistant Chief Economist
Dror Kenett | Senior Economist
Matthew Kozora | Senior Economist
Patricia Ledesma Liebana | Senior Economist
Joon-Suk Lee | Senior Economist
Shawn M. O’Donoghue | Senior
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Optional One-Day Extension for Customer and PAB Reserve Formula Computations and Required Deposits Around the December 2018 Month-End Holidays
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 7610A and 7620A to modify certain fees and credits applicable to Retail Participants that use the FINRA/Nasdaq Trade Reporting Facility Carteret (the “FINRA/Nasdaq TRF Carteret”) and/or the FINRA/Nasdaq Trade Reporting
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Distribution Manager is used by the lead manager or book runner of a firm-commitment initial public offering (IPO) or follow-on offering to report underwriting commitments and retentions on behalf of the syndicate.
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2018. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 14, 2018. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 13