FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
Bonds Related to Charter School in Arizona and Two Assisted Living Facilities in Alabama
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against Phoenix-based firm, Lawson Financial Corporation, Inc. (LFC), and Robert Lawson, the firm’s President and Chief Executive Officer, charging them with securities fraud in connection with the
<p>NASD Rule 2110 - Standards of Commercial Honor and Principles of Trade</p>Member whose firm will cease to exist upon merger with an acquiring member that does not generally offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail accounts to a broker-dealer affiliate of the acquiring member.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) recently announced a delay in the effective date for certain amendments to the Bank Secrecy Act (BSA) that were scheduled for January 1, 1996. The amendments, which require broker/dealers to comply with additional recordkeeping
V. M. MANNING & CO., INC.211 E WASHINGTON ST SUITE B, GREENVILLE, SC 29601-2835Mailing Address: P.O. BOX 10389, GREENVILLE, SC 29603VALDES & MORENO, INC.819 MAIN STREET, ROOM 304, PARKVILLE, MO 64152VALIC FINANCIAL ADVISORS, INC.2919 ALLEN PARKWAY, L3-20, HOUSTON, TX 77019-2158VALIDATE CAPITAL MARKETS, LLC505 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10022VALKYRIE EQUITIES
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Senior Management
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Registration
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Executive Summary
Every person registered with a member of the NASD® must notify the NASD of his or her current mailing address. This obligation exists while a registrant is associated with any NASD member firm, and continues for as long as the NASD retains jurisdiction to bring a disciplinary action
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
October 2008 Quarterly Disciplinary Review - FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.
