GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Registration
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members
(NTM) 06-37 and replace the guidance provided in that Notice
relating to the application of the Trading Activity Fee
The Financial Industry Regulatory Authority (FINRA) and the International Foundation of Employee Benefit Plans today launched a partnership to broadly disseminate two online resources to help companies and their older workers protect themselves from early retirement scams.
Con Artists Posing as FINRA CEO ‘Guarantee’ Fraudulent Investments
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of financial scams in which con artists are posing as regulators to make fraudulent investment pitches.
Recently, financial fraudsters used FINRA’s name and logo in correspondence – including a fake
The Financial Industry Regulatory Authority (FINRA) today issued an updated Investor Alert warning international investors about a new twist in advance-fee fraud involving low-priced US securities. Con artists have been misusing FINRA's name and impersonating FINRA employees in email communications in an apparent attempt to lend a false air of legitimacy to their schemes
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection and Net Capital Rules, and for related supervisory and books and records failures.
The SEC Customer Protection Rule creates requirements to protect customers' funds and
Washington, DC - The Financial Industry Regulatory Authority (FINRA) is seeking comment on proposed rule amendments that would require registered firms - for the first time - to report allegations of sales practice violations against an individual broker made in arbitration claims or civil lawsuits that do not name the broker as a respondent or defendant.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today launched two online resources to help companies and their older workers protect themselves from early retirement scams.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of potential stock scams when considering the purchase of shares of companies that tout high returns associated with cryptocurrencies, such as bitcoin.
Unrealistic predictions of exponential returns and unsubstantiated claims made through press releases, spam email,
On June 7, 2007, the SEC approved amendments to Rule 2790 to prohibit issuer-directed allocations of new issues to broker-dealers and to provide an exemption for issuer-directed non-underwritten offerings.
