Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Morgan Keegan & Company, Inc., charging the firm with marketing and selling seven affiliated bond funds to investors using false and misleading sales materials - costing investors well over $1 billion.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS FEBRUARY 4, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to the NASD By-Laws and Rules of Fair Practice, and on proposed new government securities rules designed to permit the NASD to carry out its regulatory responsibilities under the Government Securities Act of 1986
FINRA shares an annual snapshot of some of the data collected in the course of its work to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals.
View Data
About the Data
Data Description
The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the overall
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-11 Notification provisions for brokers and dealers.
This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation, the Filene Research Institute, and six local credit unions have launched a two-year research project to assess the long-term impact of an Employer Sponsored Small Dollar Loan designed to help employees avoid the high cost of payday lenders, establish or repair credit, and begin to save.
Designed by
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
Summary
FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) are enhancing the Electronic Blue Sheets (EBS) to improve their ability to analyze broker-dealers’ trading activities.
Effective immediately, firms will be required to update certain data elements for EBS to reflect the SEC’s May 10, 2019, and May 4, 2020, approvals of Long Term Stock Exchange and
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of November 20, 1992, the following 30 issues joined the Nasdaq National Market,® bringing the total number of issues to 2,956:
Symbol
Company
Entry Date
SOES Execution Level
EZEMB
E-Z-EM, Inc. (Cl B)
10/27/92
1000
HALO
HA-LO Industries, Inc.
