Displaying 5111 - 5120 of 34834 Results
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
INFORMATIONAL
Imposition Of Censures
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary ActionsNASD Sanction Guidelines
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
In July 1999, the
Firm Fined $229,000, Ordered to Offer Rescission to Defrauded Investors, and Suspended Two Years From Engaging in Self-Offerings; Registered Representative Suspended Two Years
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has sanctioned Avenir Financial Group, fining the NY-based firm $229,000 and suspending it for two years from
WASHINGTON —The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2016 Annual Meeting today in Washington, D.C. In accordance with FINRA By-Laws, small firms elected one Governor. FINRA also named two new public Governors to its Board of Governors.
Bob Muh, Chief Executive Officer, Sutter Securities, Inc. was elected as a Small Firm Governor
INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The Securities and Exchange Commission
FINRA Provides Information and Assistance to Investors
WASHINGTON — Investors should beware of offers to recover money lost from securities investments for an upfront fee, according to an Investor Alert issued today by the Financial Industry Regulatory Authority (FINRA). In particular, FINRA cautions investors who live outside the U.S. that some of these offers may be fraudulent.
"While it
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
INFORMATIONAL
Trade Date—Settlement Date
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date— Settlement Date Schedule
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification.
General Information on FINRA’s Eligibility Requirements
Under the FINRA By-Laws, no person shall be admitted to or continued in