Displaying 6861 - 6870 of 9026 Results
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star Families
WASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management for churning and excessively trading customer accounts in violation of Regulation Best Interest (Reg BI), failing to supervise its representatives, and providing false and misleading disclosures
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued a regulatory notice providing guidance on member firms' responsibilities concerning the sale of pension income stream products, which typically are contracts that provide a lump-sum payment to a pensioner in exchange for the rights to future pension income payments.
"Pension income stream products are complex
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The National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., and a committee of the Securities Industry Association have developed a joint memorandum that
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).
Board Approves Rulemaking Item and Use of 2020 Fine Monies; Moves Forward With Advanced Analytics Strategic Initiative
WASHINGTON – FINRA’s Board of Governors met on March 3 and 4 for the first time in 2021. During the meeting, the Board approved one rulemaking item and discussed a variety of topics, including the evolution of FINRA's Member Supervision Department, which recently published
1. How do I submit form filings to Web CRD?
Upon completion of a filing...
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Initiation by FINRA
(1) Issuance of Notice of Disqualification or Ineligibility
If FINRA staff has reason to
(a)(1) Unless otherwise permitted by FINRA, a member shall not enter into an agreement for the carrying, on an omnibus or fully disclosed basis, of any customer account in which securities transactions can be effected ("customer account" or "account"), unless such agreement is with a carrying firm that is a FINRA member. An introducing firm that acts as an intermediary for
The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2015 Annual Meeting today in Washington, D.C.