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C&C TRADING L.L.C.35 MASON STREET, 4TH FLOOR, GREENWICH, CT 06830C. L. KING & ASSOCIATES, INC.NINE ELK STREET, ALBANY, NY 12207C2M SECURITIES, LLC7315 THREE CHOPT ROAD, RICHMOND, VA 23226CABIN SECURITIES, INC.6240 W 135TH STREET, SUITE 214, OVERLAND PARK, KS 66223CABOT LODGE SECURITIES LLC425 N MARTINGALE RD, SUITE 1220, SCHAUMBURG, IL 60173CABRERA CAPITAL MARKETS, LLC227 W.
Update to Web CRD Firm Notification Functionality
NASD, as part of its continuing efforts to assist member firms in fulfilling their compliance and registration-related requirements, is introducing an expanded e-mail notification service to all firms beginning August 22. The e-mail notifications, which are listed below, are intended to assist firms in identifying (1) material changes to a
Web EFT is a secure electronic file transfer application that eliminates the need for firms to manually submit online form filings to Web CRD®.
WASHINGTON – FINRA announced today that Michael Rufino will leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRA’s Sales Practice Examination, Risk Monitoring and Membership Application Programs in
Summary
FINRA is issuing this Notice to restate and supplement prior guidance regarding the circumstances under which a firm or individual may influence the outcome of an investigation by demonstrating extraordinary cooperation. This Notice incorporates FINRA’s prior guidance and provides clarification and additional information about how FINRA assesses whether a potential respondent’s
This email is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@filling-regfinra.com”. The domain of “filling-regfinra.com” is not connected to FINRA, and firms should delete all emails originating from this domain. Member firms should be aware that they may receive similar phishing emails from other domain
Notice of FINRA District Committee Election and Ballots
FINRA staff will point seniors to educational tools that can help them better understand investing, savings and investment products.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 5, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws. The amendments would require controlling persons of a firm liquidated under the Securities Investor Protection Act of 1970 (SIPA) to undergo eligibility proceedings pursuant to the