Displaying 7531 - 7540 of 9026 Results
Summary
FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The protection of senior investors is a top priority for FINRA. As such, FINRA is interested in whether additional tools, guidance or changes to FINRA rules or administrative processes are
WASHINGTON — FINRA today released its 2019 Risk Monitoring and Examination Priorities Letter, highlighting new priorities as well as identifying areas of ongoing concern that FINRA will continue to review in the coming year. This year’s letter’s focus on materially new issues may help firms better identify those priorities that are relevant to their business.
Among the emerging issues identified
GUIDANCE
Qualification Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
Limited Representative
Fingerprint Processing Fees
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 theMunicipal Securities Rulemaking Board (MSRB).
FINRA Announces Modifications Regarding Historic TRACE Data
Effective Date: February 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On November 10, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Subsection (b)(7)(C) to Article III, Section 44 of the Rules of Fair Practice clarifying that the exemptions from the filing requirements of the NASD
<p>Permissibility of electronic signatures under NASD Rules 3010(d) and 3110(c)(1)(C).</p>
One in Five Investors Started Investing Recently
Younger Investors More Comfortable with Risky Investments
One Third of Investors Open to Cryptocurrencies
WASHINGTON—A substantial proportion of investors joined the market relatively recently, younger investors are more likely to engage in riskier investment behaviors and a third of investors are considering investing in
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities