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TOKYO and WASHINGTON — The U.S. Financial Industry Regulatory Authority (FINRA) and Japan Securities Dealers Association have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former K.C. Ward Financial registered representative Craig David Dima for making unauthorized and unsuitable trades totaling approximately $15 million in a 73-year-old retiree’s account, and for misrepresenting the reasons for the trades to the customer.
Susan Schroeder, FINRA Acting Head of
Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $153,725 to Pace University School of Law to develop and distribute information on how older investors can avoid and resolve small disputes with brokerage firms.Formerly known as the NASD Investor Education Foundation, the FINRA Investor Education Foundation was established in 2003 and is the largest foundation in
Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $324,125 to the University of Central Florida to analyze how well investors understand the disclosure information presented with financial products—and how to make that information more meaningful to both retail and institutional investors.Formerly known as the NASD Investor Education Foundation, the FINRA Investor
Fines to be Waived for Firms Notifying FINRA by April 1; Initiative Stresses Restitution and Rapid Remediation
WASHINGTON – FINRA today announced via Regulatory Notice 19-04 a self-reporting initiative to promptly compensate harmed investors and promote firms’ compliance with the rules governing the recommendation of 529 savings plans. Under the 529 Plan Share Class Initiative (529 Initiative),
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).
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
On This PagePortfolio Margin DataFiling ScheduleHow to Access the File Upload FunctionBefore Uploading a File for the First TimeHow to Upload a FilePortfolio Margin Exam DataPortfolio Margin DataStarting on March 1, 2024, FINRA required that all Portfolio Margin (PM) firms submit their PM data via a file upload (fileX Upload) along with the expanded data requirements.For more information on the
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
Remarks From the Global Diversity Leadership Exchange