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FINRA Identifies Energy Stocks as Latest "Pump and Dump" Scheme
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced the launch one of the most comprehensive, content-rich, free online information resources for retail investors - and the only one with a strong emphasis on fixed-income securities.
The new Market Data section of the regulator's web site, www.finra.org, includes detailed data on equities, options, mutual
SEC Approves Amendments Relating to Stop Orders
Washington — The Financial Industry Regulatory Authority (FINRA) today announced it has censured and fined Barclays Capital, Inc.; Goldman Sachs & Co.; and Merrill Lynch, Pierce, Fenner & Smith, Inc., $1 million each for failing to provide complete and accurate information about trades performed by the firms and their customers, commonly known as "blue sheet" data, to FINRA, the SEC and other regulators.
COVID-19 has altered the world as we know it. While some have responded to it as an incident or singular event, in the world of countering criminal threats we are seeing the need to treat it as a sustained campaign. This panel will discuss the multitude of threats across the financial crimes’ spectrum perpetrated by an aggressive yet flexible adversary.
Notice of Special Meeting of Large Firms and Proxy
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).
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 the Municipal Securities Rulemaking Board (MSRB).
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
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Executive Summary
On February 13, 1995, in SEC Release No. 34–35361, File No. SR-NASD-94–51, the Securities and Exchange Commission (SEC) approved amendments to Parts VI and X of Schedule C of the NASD By-Laws relating to foreign finders and foreign associates. These amendments