Displaying 7751 - 7760 of 9025 Results
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
Proxy Rate Reimbursement and Enhanced Brokers’ Internet Platforms Amendments to FINRA Rule 2251
SEC Approves Consolidated FINRA Customer Order Protection Rule
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
FINRA Requests Comment on Proposed FINRA Rule Addressing Best Execution
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 the Municipal Securities Rulemaking Board (MSRB).
<p>OATS Clock Synchronization Logs – Record Keeping Requirements.</p>
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three broker-dealers - J.P. Turner & Co., of Atlanta, Park Financial Group, Inc., of Maitland, FL and Legent Clearing, LLC, of Omaha - for failing to implement reasonable anti-money laundering (AML) compliance programs, including the failure to detect, investigate and report instances of potentially suspicious transactions in low-priced stocks.
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Executive Summary
NASD Regulation, Inc. (NASD
First Disciplinary Action by FINRA Involving Cryptocurrencies
WASHINGTON – FINRA announced today that it filed a complaint against Timothy Tilton Ayre of Agawam, Massachusetts, charging him with securities fraud and the unlawful distribution of an unregistered cryptocurrency security called HempCoin. This case represents FINRA’s first disciplinary action involving cryptocurrencies.
In the