FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
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).
As previously announced on March 22, 2024 in a FINRA Trade Reporting Notice, FINRA is implementing enhancements to the FINRA equity trade reporting facilities1 to support the reporting of fractional share quantities. These enhancements are being made in coordination with the Unlisted Trading Privileges (UTP) and Consolidated Tape Association (CTA) Securities Information Processors (SIPs) to
Important notes to consider when searching the FINRA Disciplinary Actions Online Database
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Through this Notice, NASD Regulation, Inc., is announcing that the electronic version of the NASD Manual is now accessible on the NASD RegulationSM Web Site (www.nasdr.com). With the advent of Internet availability, the
As of June 30, 2020, the U.S. Securities and Exchange Commission’s Regulation Best Interest—or Reg BI—is officially in effect. What does a post implementation-date world look like? And how is FINRA working to ensure a consistent approach to examining around and enforcing the new regulation? Tune in to learn more.
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
Divorce can impact all aspects of your life, including your financial responsibilities and goals. But there are ways that can help you better understand—and stay in control of—your investments.
Regulatory ObligationsSEA Rule 15c2-11 governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market).1 The rule generally prohibits a broker-dealer from publishing a quotation for any security in a quotation medium unless the broker-dealer has reviewed current and publicly available information
About half of the nation’s financial advisors personally own crypto. If this rule is enacted, upwards of a hundred thousand FAs will have to inform their B/Ds of their crypto holdings and seek written permission to keep them. If permission is not obtained, the FAs will be required to sell their crypto assets, transfer to another firm that permits their investments, or be terminated. If this rule
