SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesLegal & Compliance
Executive Summary
On January 27, 1993, the Securities and Exchange Commission (SEC) approved the NASD's Collateralized Mortgage Obligations Advertising Guidelines (Guidelines). The Guidelines provide a framework for members to assess the accuracy and appropriateness of Collateralized Mortgage Obligations
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined TD Ameritrade Clearing, Inc. $1,150,000 and SG Americas Securities, Inc. $675,000 for failing to report or accurately report certain large options positions and for related supervisory deficiencies.
Attend this session to hear helpful tips on complying with FINRA Rule 2210, Communications with the Public when creating, reviewing, approving, distributing or using retail communications concerning private placement offerings. Join panelists as they share helpful tips in identifying red flags in third-party prepared materials, the use of forecasts of issuers operating metrics, and distribution rates. Panelists also explain the process for filing offering documents, including retail communications, with FINRA.
FINRA Committed to Enhancing Diversity of Arbitrator and Mediator Pool; Providing Greater Transparency into Arbitrator Demographic Makeup
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that FINRA’s Office of Dispute Resolution is holding an arbitrator and mediator recruitment event at the Congressional Black Caucus Foundation Annual Legislative Conference in
Rulemaking items discussed at the September Board meeting include: communications with the public, non-public arbitrator definition and sending arbitrator selection lists to parties.
A networking arrangement between a broker/dealer and a licensed insurance agency in which the non-member insurance agency receives commission payments is not subject to Rule 2420 if the arrangement is undertaken in reliance on an SEC no-action position on the registration requirements of the insurance agency as a result of the arrangement.
FINRA Advises Investors on How to Safeguard Their Brokerage Accounts
Mary Schapiro, CEO of the Financial Industry Regulatory Authority (FINRA), expressed deep concern today that some investors may be trying to cope with rocky economic conditions by putting their most valuable assets at risk in an effort to raise cash quickly.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that a FINRA hearing panel has dismissed two of three causes in a February 2012 complaint against Charles Schwab & Company.
