(a) Recusal, Withdrawal of Panelist
If at any time a Panelist of a Hearing Panel or an Extended Hearing Panel determines that he or she has a conflict of interest or bias or circumstances otherwise exist where his or her fairness might reasonably be questioned, the Panelist shall notify the Hearing Officer and the Hearing Officer shall issue and serve on the Parties a notice stating that
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, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public.
Study Highlights Grim Financial Challenges and Gender Disparities
WASHINGTON, D.C.–New research from the FINRA Investor Education Foundation offers insights into the financial knowledge and habits of incarcerated women across multiple measures of financial capability and literacy, exposing the deep financial challenges facing women in prisons.
The study, Gender and Financial Capability from
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
Updates from the March 2020 FINRA Board of Governors meeting.
INFORMATIONAL
District Elections
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Legal & Compliance
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District Elections
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.
