Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
Revisions to the Sanction Guidelines Create New Fine Ranges Specific to Firm Sizes and Individuals, Reflect FINRA’s Enforcement Priorities
WASHINGTON—FINRA announced today that the National Adjudicatory Council (NAC) has made significant improvements to the Sanction Guidelines to ensure that they accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings and serve as an
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned an additional eight firms and 10 individuals, and ordered restitution totaling more than $3.2 million, for selling interests in private placement offerings without having a reasonable basis for recommending the securities.
SEC No-Action Guidance on Electronic Filing of Broker-Dealer Annual Reports
Any new rules to regulating shorts would be very welcome as a retail investor. As far as I’m concerned, these are the biggest problem in enforcing REG SHO and regulation of the shorting market is the T2 settlement period which obscures net positions for the average investor. And the other is the blurred line of market makers and hedgefunds. Hedgefunds can easily parade themselves as “bona fide”
Investors of Color are Entering the Market at a Faster Pace than White Investors and Tend to Be Much Younger, Report Shows
Please, as an Investor in the US markets I never understod how much manipulation there is. I invest my money and get robed by the unorthodox ways of manipulating the markets by the big market makers and hedgefunds. They short stocks til infinity Buying and selling thru dark pools and of the books trying to fix the price and leaving retail investors BLEEDING right before the eyes of the SEC and
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors has approved the promotion of Marcia E. Asquith to Executive Vice President, Board and External Relations. Jennifer Piorko Mitchell was promoted to Vice President, Corporate Governance.
In a newly created role, Ms. Asquith will continue to oversee the Office of the Corporate Secretary, as
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has named Josh Drobnyk as its Senior Vice President for Corporate Communications. Mr. Drobnyk will start at FINRA on February 6.
Mr. Drobnyk comes to FINRA from the U.S. Department of the Treasury where he served as the Principal Deputy Assistant Secretary for Public Affairs and most recently as Deputy Chief
