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FINRA Institute at Georgetown Certified Regulatory and Compliance Professional (CRCP) Small Firm Scholarship Program
The FINRA Certified Regulatory and Compliance Professional (CRCP)® Small Firm Scholarship Program was developed to facilitate participation from small firms—those with 150 or fewer registered representatives. The CRCP® Small Firm Scholarship is awarded to five industry professionals from small firms.To be eligible for the CRCP Small Firm Scholarship, applicants must meet all of the following
FINRA Sanctions Three Firms for Inadequate Supervision of Consolidated Reports
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has sanctioned three firms – H. Beck, Inc., LaSalle St. Securities, LLC, and J.P. Turner & Company, LLC – with fines of $425,000, $175,000 and $100,000, respectively, for inadequate supervision of consolidated reports provided to customers and other violations. A consolidated report is a single
FINRA Sanctions Brookville Capital Partners $1.5 Million and Bars President Anthony Lodati for Fraud
Firm Ordered to Pay Full Restitution of More Than $1 Million to Customers
Behind the Process: How an Enforcement Action Becomes an Enforcement Action
Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. On this episode, Jessica Hopper, head of FINRA Enforcement, walks us through the Enforcement process and the many steps in the process.
First-Ever National Study Finds Veterans Faring Slightly Better Financially Than Civilians
But Credit Card Debt and Underwater Mortgages Weigh Heavily on Vets WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) today released a new study that shows veterans are faring slightly better financially than civilians, even as they struggle under the weight of credit card debt and underwater mortgages. The study is the nation’s first comprehensive comparative analysis of
Regulatory Notice 16-43
SEC Approves Rule Amendment to Create a New Academic Corporate Bond TRACE Data Product
CD Comment On Regulatory Notice 21-19
I am losing faith in the Regulations governing the Securities Market! As a retail investor I believe that the provably widespread practice of naked shorting dilutes the share pool of companies that I believe in which artificially lowers stock prices. It is a method that predatory short hedge funds use to drive stock prices down, rather than allowing the market to engage in true price discovery.
FINRA Dispute Resolution Proposes Raising Threshold for Three-Arbitrator Cases
New York - The Financial Industry Regulatory Authority (FINRA) today announced it has filed a proposed rule change with the Securities and Exchange Commission to have investor cases with claims of up to $100,000 in dispute heard by a single public arbitrator, an increase from $50,000.
DR Portal Quick Reference Help Guides
Help for Arbitrators I don’t know how to register for the DR Portal I’m having trouble registering for the DR Portal I’m having trouble uploading documents to or downloading documents from the DR Portal Help for Parties I’m a Claimant who filed a Statement of Claim but I can’t access the case on the DR Portal I’m Claimant’s counsel and I can’t access the case on the DR Portal I’m a
2216. Communications with the Public About Collateralized Mortgage Obligations (CMOs)
(a) Definition For purposes of this Rule, the term "collateralized mortgage obligation" (CMO) refers to a multi-class debt instrument backed by a pool of mortgage pass-through securities or mortgage loans, including real estate mortgage investment conduits (REMICs) as defined in the Tax Reform Act of 1986. (b) Disclosure Standards and Required Educational Material (1)