Displaying 7201 - 7210 of 9026 Results
Action Taken on 35 of 51 Recommendations to Date
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) today released a
FINRA Dispute Resolution Task Force Recommendations Status Report - February 8, 2017
on the recommendations made in the FINRA Dispute Resolution Task Force’s
Final Report and Recommendations of the FINRA Dispute
Lawson Misused Customer Funds and Breached Fiduciary Duties as a Co-Trustee of a Customer Trust Account
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Phoenix-based Lawson Financial Corporation, Inc. (LFC) from FINRA membership, and has barred LFC’s CEO and President Robert Lawson from the securities industry for committing securities fraud
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTechnologyTradingand MarketsTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting
GUIDANCE
Transaction Reporting
Executive Summary
On November 16, 2006, the Securities and Exchange Commission approved an amendment to Rule 6230 (Transaction Reporting). Effective
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceOperationsSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has affirmed a finding by the NASD Board of Governors that a member firm, by accepting a customer's limit order, had an obligation to give that order
FINRA issued Regulatory Notice 15-37 requesting comment on proposed rules addressing the financial exploitation of seniors and other vulnerable adults.
Amendments To Guidelines Regarding California Arbitration Proceedings
Information in NASD Notice to Members 99-10 (February), which applies to NASD Regulation, Inc. (NASD RegulationSM) arbitration proceedings in California, and governs the activities of non-California attorneys, has been amended and should be reviewed by anyone participating in a California arbitration proceeding. The original
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that J. Bradley (Brad) Bennett will leave FINRA early next year. Bennett has served as FINRA’s Chief of Enforcement for nearly six years, overseeing 300 enforcement staff in 14 district offices across the United States responsible for investigating potential violations of FINRA rules and securities laws. Susan
The Best Execution section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 (Act) which provides for the federal regulation of government securities brokers and dealers. The new legislation, which becomes effective on July 25, 1987, creates new Section 15C under the Securities Exchange Act of 1934 (Exchange Act) entitled
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundRegistrationTraining
Executive Summary
The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the proceeds of