NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Requests Comment on Proposed Regulation of Crowdfunding Activities
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Table of Contents
1.1 Sizes and Counts
Figure 1.1.2 FINRA-Registered Representatives by Firm Size, 2018-2022
Table 1.1.3 FINRA-Registered Representatives by Firm Size, 2018–2022
Figure 1.1.4 Average and Median Number of FINRA-Registered Representatives per Firm, 2018-2022
Table 1.1.5 Average and Median Number of FINRA-Registered Representatives per Firm, 2018-2022
Figure 1.1.6
• Disqualified Persons—Failure to Discharge Supervisory Obligations
• Supervision—Failure to Comply With Taping Rule Requirements
• Supervision—Failure to Supervise
• Supervisory Procedures—Deficient Written Supervisory Procedures
Disqualified Persons—Failure to Discharge Supervisory Obligations
FINRA Rule 2010 and NASD Rule 3010
Principal Considerations in
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Table of Contents1.1 Sizes and CountsFigure 1.1.1 Total Number of FINRA-Registered Representatives, 2019–2023Figure 1.1.2 FINRA-Registered Representatives by Firm Size, 2019–2023Table 1.1.3 FINRA-Registered Representatives by Firm Size, 2019–2023Figure 1.1.4 Average and Median Number of FINRA-Registered Representatives per Firm, 2019–2023Table 1.1.5 Average and Median Number of FINRA-
The FINRA Investor Education Foundation, in collaboration with researchers from Rush University Medical Center, released two studies today examining links among financial and health knowledge, cognitive health and financial and health decision making among older persons.
Fingerprint Processing Fees
Military Spouse Fellows Support the Military Community as Accredited Financial Counselors® to Help Increase the Financial Capability of Military Families
WASHINGTON — The FINRA Investor Education Foundation (FINRA Foundation) has announced the recipients of the first annual awards to FINRA Foundation Military Spouse Fellows for outstanding service and dedication to military service members and
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice to require NASD members
SEC Approves Amendments to Arbitration Codes to Revise the Definitions of Non-Public and Public Arbitrator
