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Upcoming FINRA Board of Governors Election
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
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 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 responding to the
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).
For some investors, a high-volume trading strategy could be something they affirmatively seek—perhaps because they have a strong appetite for risk, desire to engage in market speculation, or both. For others, such a strategy might not make sense and could be a sign of a type of misconduct known as “excessive trading.”
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of the Securities
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
Payment Deadline: December 7, 2001
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KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
Training
Maintenance Fees
Registration
Renewals
Web CRD
Web IARD
Executive Summary
The National Association of Securities Dealers
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined StateTrust Investments, Inc. $1.045 million and sanctioned the firm's head trader, Jose Luis Turnes, for charging excessive markups and markdowns in corporate bond transactions and, 85, in particular, that operated as a fraud or deceit upon the customers.