Displaying 7811 - 7820 of 9025 Results
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceRegistrationSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 4, 1992, the Securities and Exchange Commission (SEC) approved amendments to Parts II and III of Schedule C to the NASD's By-Laws permitting Direct Participation Program (DPP) Limited Principals and
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that its Board of Governors approved a proposal requiring brokers to disclose recruitment compensation paid to them as an incentive to move to a new firm.
FINRA Posts Guidance on Enhanced Price Disclosure to Retail Investors for Corporate and Agency Bonds
WASHINGTON — The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail investors for trades in corporate and agency bonds. The new requirements go into effect May 14, 2018.
The guidance, in the form of answers to frequently asked questions (FAQ), covers such topics as when the new disclosure
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. LLC $1 million and ordered $188,000 in restitution plus interest for failing to provide best execution in certain customer transactions involving corporate and agency bonds, and failing to provide a fair and reasonable price in certain customer transactions involving municipal bonds.
As of the September 18, 1999 release of OATS, firms may view online and/or download Execution and Combined Order/Execution Reports that do not match trade reports submitted to ACT.
<p>A sales incentive program can combine non-conforming criteria based on sales prior to January 1, 1999 with conforming criteria based on sales subsequent to January 1, 1999 for incentives to be provided prior to June 30, 2000.<br />
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The Disclosure of Routing Information section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
New York, NY and Washington, DC - The Better Business Bureau (BBB) of Metropolitan New York and the Financial Industry Regulatory Authority (FINRA) today launched a resource for workers experiencing job loss as a result of corporate mergers, layoffs or closings. The information is designed to help workers make sound financial decisions regarding their personal finances, retirement funds and other severance pay during periods of unemployment.
Blockchain Symposium to Take Place in NYC on July 13
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has established an Innovation Outreach Initiative to foster an ongoing dialogue with the securities industry that will help FINRA better understand financial technology (fintech) innovations and their impact on the industry.
“FINRA has long been engaged
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1988-89 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and