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FINRA Expels Monmouth Capital Management
Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star FamiliesWASHINGTON—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 to
Special Notice – 4/19/24
SummaryFINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:a description of responsibilities for the various groups;an overview of each elected vacancy to be filled in 2024; anda summary of how eligible individuals can become candidates for
Notice to Members 02-52
REQUEST FOR COMMENT Branch Office Definition Comment Period Expires: September 20, 2002 SUGGESTED ROUTING KEY TOPICS CRD Legal & Compliance Member Regulation Operations Senior Management Branch Office Definition Rule Modernization Rule 3010(g)(2) Executive Summary NASD requests comment from members, investors, and other interested parties on proposed
Remarks at the Distinguished Speaker Series, Georgetown University McDonough School of Business
Thank you, John for that kind introduction. It's an honor to speak at this great university – and the McDonough School in particular. Georgetown University is an incredibly valuable resource – to its students and the entire business and financial community.
Restated Certificate of Incorporation of Financial Industry Regulatory Authority, Inc.
The present name of the corporation is Financial Industry Regulatory Authority, Inc. (the "Corporation"). The Corporation was originally incorporated as a nonstock corporation under the name of Investment Bankers Conference, Inc., and its original Certificate of Incorporation was filed with the Secretary of State of the State of Delaware on September 3, 1936. This Restated
Election Notice – 8/19/16
Notice of Annual Meeting of FINRA Firms and Proxy
Fostering Innovation One Year Later
Just over one year ago, FINRA launched the Innovation Outreach Initiative as part of FINRA360, our comprehensive organizational review. The Initiative began an ongoing dialogue with industry participants, investor advocates and policy makers centered on the implications of financial technology (fintech) for the broker-dealer industry.
Notice to Members 04-21
GUIDANCEAffirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeLegal & ComplianceOperationsNASD Rule 3370Short Sale RuleAffirmative DeterminationExecutive SummaryOn November 14, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "affirmative
Monthly Disciplinary Actions December 2013
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).
Notice to Members 03-26
Rule 2260 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Designated Investment Adviser Definition Rule Modernization Rule 2260 Executive Summary Rule 2260 requires member firms to forward proxy material, annual reports, information statements, and other material sent to security holders, the beneficial owner, or the beneficial owner