The FINRA Investor Education Foundation announced today that BrightScore®, an online credit management tool, will be offered free of charge to active duty military personnel and their spouses to help them manage their credit wisely. BrightScorea new offering of the FINRA Foundation's multifaceted SaveAndInvest.org Military Financial Education Programis presented in partnership with the InCharge Institute of America.
NASD Notice of Meeting and Proxy
Scottsdale, AZ — The Financial Industry Regulatory Authority (FINRA) announced today that registered personnel and other frontline staff now can learn about their compliance obligations when working with senior customers through the latest in FINRA's series of free, instructional webcasts.
The interaction of securities industry professionals and the growing senior population raises
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations (RMBS).
Remarks From MarketsMedia/Traders Magazine Equity Market Structure Town Hall Forum
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Executive Summary
Effective upon publication of this Notice, the National Association of Securities Dealers, Inc. (NASD
(a) Definitions
For purposes of this Rule and any interpretation thereof:
(1) "Options communications" consist of:
(A) "Correspondence." Any "Correspondence" as defined in Rule 2210(a)(2) concerning options.
(B) "Institutional Communication." Any "Institutional Communication" as defined in Rule 2210(a)(3) concerning
FINRA today issued a new Investor Alert called It Pays to Understand Your Brokerage Account Statements and Trade Confirmations to help guide investors through the key elements of their account statements and trade confirmations.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses.
Rule Filing Status As Of December 3, 1996
NASD Rule Filing Status
Following is a list of rule filings by the NASD regarding broker/dealer regulation that are pending at the Securities and Exchange Commission (SEC) or recently approved. The information set forth below is current as of December 3, 1996. Copies of rule filings (and any amendments thereto), the SEC release publishing the rule
