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FINRA Requests Comment on a Proposal to Identify OTC Equity Trades Reported More Than Two Seconds After Execution as “Out of Sequence” and Not Last Sale Eligible
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has barred brokers Fernando L. Arevalo and Jimmy E. Caballero from the securities industry for wrongfully converting approximately $300,000 from an elderly widow with diminished mental capacity, and for failing to fully cooperate with FINRA's investigation.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced it has censured and fined Macquarie Capital (USA) Inc. $2.95 million for failing to provide complete and accurate trade data in an automated format when requested by the Securities and Exchange Commission (SEC) and FINRA. Also, Macquarie must conduct a comprehensive review of its policies, systems and procedures
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has named a new Public Governor – Charles I. Plosser, former President of the Federal Reserve Bank of Philadelphia – to its Board of Governors.
Dr. Plosser has had a long and distinguished career, most recently as the President and CEO of the Philadelphia Federal Reserve Bank from 2006 to his retirement in 2015. During his term as
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The National Association of Securities Dealers
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
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).