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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).
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
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule proposal addressing the
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Sale of Securities in a Fixed Price Offering
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called E-Cigarette Stock Scams: New Smoking Technology Could Light Up Pump-and-Dump Fraud warning investors of aggressive promotions touting stocks that claim to capitalize on the e-cigarette and vaporizer, or "vape," market. FINRA's Alert follows the Securities and Exchange Commission's
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 24, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 27(g) of the Rules of Fair Practice codifying certain interpretations of the term "branch office." The
(a) Call for Review
(1) Rule 9268 Decision
A decision issued pursuant to Rule 9268 may be subject to a call for review by any member of the National Adjudicatory Council or, pursuant to authority delegated from the National Adjudicatory Council, by any member of the Review Subcommittee. A decision issued pursuant to Rule 9268 shall be subject to a call for review within 45 days after the date
To further cultivate a diverse, equitable and inclusive work environment, FINRA supports an employee resource groups (ERG) program. These networks help create a more inclusive work environment by encouraging employees to lead or participate in activities that have an organization-wide impact and directly support FINRA's commitment to attracting, retaining and engaging top talent.These
Report Examines Attitudes, Behaviors of Investors Ages 18 to 25
WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing: Social Media, Crypto, FOMO, and Family.
The report examines attitudes and behaviors around investing among two Gen Z segments (ages 18 to 25) in the United States—those with and those without any