Regulators submit Form U6 filings to report disclosure events and disciplinary actions against individuals and organizations. FINRA also uses the form to report final arbitration awards against broker-dealers and associated persons.
Firms have an obligation to report U6 information on the appropriate registration form filing.
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Background
The Military Personnel Financial Services Protection Act ("Military Act") was enacted to protect members of the U.S. Armed Forces from unscrupulous practices regarding sales of insurance, financial and investment products. Congress amended Section 15A(b) of the Securities Exchange Act of 1934 with the enactment of the Military Act to require FINRA, as a registered securities
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Leonard & Co. of Troy, MI, $225,000 for numerous violations, including the illegal sale of millions of shares of penny stock on behalf of customers. FINRA also required the firm to retain an independent consultant to review its supervisory systems and procedures.
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:Identify and assess cybersecurity threats;Protect assets from cyber intrusions;Detect when their systems and assets have been compromised;Plan for the response when a compromise occurs; andImplement a plan to recover lost, stolen or
Finra, The short selling on the market has become a joke to many of us. We see so much manipulation with simple indictators like the Inflow beating the Outflow by i.e. '100' yet we manage to drop $5? So, it would be nice to see (for a start) if this is shorting pressure, or if this is manipulation. It would give us chance to evaluate why the stock is dropping yet its only being bought
Shares should have a tracking number on them. Trading would be simplified and tracking fraud would be easy to find. Locates also need to be recorded as soon as they are put in use and or taken off the books when finished using...... IN A CENTRALIZED PLACE FOR ALL TO SEE.... As of right now. creating more float than available is a major problem. When the float of a company is held... The price
Washington, DC — The Financial Industry Regulatory Authority (FINRA) today announced the appointment of James P. Donovan as Senior Executive Vice President for Technology and Strategy. In addition to overseeing FINRA's corporate technology and strategy, Donovan is also responsible for registration and disclosure, market transparency facilities, member relations and FINRA's international
INFORMATIONAL
Revised Forms U4 and U5
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Central Registration Depository
Form U4
Form U5
Statutory Disqualification
Executive Summary
The Securities and Exchange Commission (SEC) has approved changes
The 4530 Disclosure Timeliness Report Card is produced on a monthly basis to show a firm's performance in timely reporting of disclosure events as required by FINRA Rule 4530(a) and (b). The information in this report comes primarily from the Rule 4530 Application; to read more about the system, please see Disclosure Events and Customer Complaint Filings.
Please note: Prior to July 1, 2011
