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Washington, DC - FINRA announced today that it has fined 25 broker-dealers a total of $2,145,000 for failures related to their completion of FINRA's (then NASD's) firm self-assessment of mutual fund breakpoint discount compliance.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflect the observance by the financial community of Columbus Day, Monday, October 13, 1986. On this day, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date since many of the nation's banking
FINRA announced today that it has ordered five firms to pay restitution estimated at more than $18 million, including interest, to affected customers for failing to waive mutual fund sales charges for eligible charitable organizations and retirement accounts.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Martin Luther King, Jr.'s Day, Monday, January 20, 1986. On Monday, January 20, 1986, the NASDAQ System and the exchange markets will be open for trading. However, it will not be a settlement date
Identifies Key Areas of Innovation, Benefits, Risks and Regulatory Consideration
WASHINGTON – FINRA today released a
2018 RegTech Report
outlining recent regulatory technology (RegTech) developments within the securities industry and potential opportunities and implications these technologies may have for broker-dealers.
The report follows an in-depth review
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Table of Contents
Figure 1.2 FINRA-Registered Representatives by Firm Size
Table 1.2 FINRA-Registered Representatives by Firm Size, 2016–2020
Figure 1.3 Average and Median Number of FINRA-Registered Representatives per Firm
Table 1.3 Average and Median Number of FINRA-Registered Representatives per Firm, 2016–2020
Figure 1.4 Securities Industry Registered Individuals by Type of
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
"Regular-Way" transactions made on Monday, October 10, Columbus Day and the days immediately preceding this day will be subject to the settlement date schedule listed below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other securities markets will be
The FINRA Entitlement Program provides a secure way to access participating Web-based systems with a shared entitlement service. This service provides authorized users the ability to access these systems with a single FINRA User ID and Password. Currently, there are more than 20 FINRA applications available via this shared entitlement platform and more applications will be added in the future.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District
Pennington Elected to One of Three Large-Firm Seats on FINRA Board
WASHINGTON—FINRA announced today that Penny Pennington, Managing Partner of Edward Jones, was elected as a large-firm governor of the FINRA Board of Governors at a special meeting of large-firm members.
“Penny’s leadership experience and knowledge of the industry will make her a valuable contributor to the Board of Governors’