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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that it has fined Deutsche Bank Securities, Inc. (DBSI) $6.5 million and censured the firm for serious financial and operational deficiencies primarily related to its enhanced lending program.
Intelligence means different things to different people. But for FINRA, at its most basic, it is the actionable information that allows employees, from an organization’s senior executives to its examiners or investigators, to make informed decisions. On this episode, we sit down to learn about FINRA’s new Financial Intelligence Unit, and how it is looking to transform how FINRA takes in, analyzes, and shares data.
Securities Firms Elect Seven Industry Governors to FINRA Board of Governors; Approve Seven Proxy Proposals
Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Ponte Vedra Beach, FL, registered representative Michael J. DiMare
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
WASHINGTON — The Financial Industry Regulatory Authority ("FINRA") announced today that it has filed for a Temporary Cease-and-Desist Order against John Carris Investments, LLC (JCI) and its CEO, George Carris, to immediately halt solicitations of its customers to purchase Fibrocell Science, Inc. stock without making proper disclosures.
INFORMATIONAL
NAC Nominations
Nomination Deadline: May 9, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The three-year terms of the
Charges Also Include Market Access Rule, Supervisory and Other Violations
WASHINGTON — The Financial Industry Regulatory Authority, along with the New York Stock Exchange; NYSE Arca; NYSE MKT; the four Bats Exchanges, Bats BZX, Bats BYX, Bats EDGA, and Bats EDGX; Nasdaq; Nasdaq BX; and the International Securities Exchange, today announced that they have commenced disciplinary proceedings
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today significantly increased transparency in mortgage-backed securities issued by Fannie Mae, Freddie Mac and Ginnie Mae, as well as in securities backed by loans guaranteed by the Small Business Administration.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: FEBRUARY 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed NASD Rule of Fair Practice that would require all persons associated with a member firm to provide prior written notice to the firm of certain outside business activities.
The NASD Board of Governors believes the proposed rule is necessary to