Displaying 7991 - 8000 of 9109 Results
Monthly Disciplinary Actions October 2009
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 theMunicipal Securities Rulemaking Board (MSRB).
Regulatory Notice 17-06
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications with the Public
FINRA Fines J.P. Morgan Securities LLC $2.8 Million for Customer Protection Rule Violations and Supervisory Failures
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined J.P. Morgan Securities $2.8 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection Rule and for related supervisory failures. The SEC rule creates requirements to protect customers' funds and securities. To ensure that customers could recover their assets in
FINRA Bars Broker for Insider Trading in Japanese Securities
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred Kenneth Ronald Allen, a former equity trader at First New York Securities L.L.C., from the securities industry for trading Japanese securities on the basis of material, non-publicized information that he received from a corporate insider.
FINRA and Georgetown University’s McDonough School of Business Announce Partnership to Deliver Certified Regulatory and Compliance Professional Program
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) and Georgetown University’s McDonough School of Business today announced a partnership to deliver the FINRA Institute at Georgetown Certified Regulatory and Compliance ProfessionalTM (CRCPTM) Program in Washington, DC. The CRCP program is the premier executive program designed specifically for securities industry regulatory and
FINRA Proposes to Permanently Give Investors the Option of All-Public Arbitration Panels
The Financial Industry Regulatory Authority (FINRA) will file a rule proposal next month that would allow all investors filing arbitration claims the option of having an all-public panel, greatly increasing investor choice in the FINRA arbitration program.
FINRA Fines J.P. Morgan Securities, LLC $1.25 Million for Failing to Appropriately Fingerprint or Screen Its Employees
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced it has fined J.P. Morgan Securities, LLC $1.25 million for failing to conduct timely or adequate background checks on approximately 8,600, or 95 percent, of its non-registered associated persons from January 2009 through May 2017.  Federal securities laws require broker-dealers to fingerprint certain associated
Interpretive Letter to Danny Ho, Commerzbank Securities
<p>If a member transmits orders to buy and sell TRACE-eligible securities to other broker-dealers for the benefit of various proprietary accounts of foreign affiliates of the member, the member is acting as agent and must report the transactions under Rule 6230.</p>
FINRA Warns Investors of Social Media-Linked Ponzi Schemes, High-Yield Investment Programs
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) warned investors today about Internet-based Ponzi schemes called high-yield investment programs (HYIPs), which purport to offer returns of 20, 30, 100 percent or more per day. HYIPs are unregistered investments sold by unlicensed individuals using sophisticated-looking websites.
2023 FINRA Annual Conference
Agenda | May 16-18, 2023 All times are listed in Eastern Time. All sessions are streaming live. Monday, May 15 5:00 p.m. – 7:00 p.m. Registration Tuesday, May 16 7:30 a.m. – 6:00 p.m. Registration 7:30 a.m. – 5:30 p.m. FINRA IDEA – Innovation, Demonstration &amp; Engagement Area Networking With Exhibitors 7:30 a.m. – 10:00 a.m. General Breakfast &amp;