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Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) today announced that two former registered representatives, Peter D. Kelly and Daniel K. Ivandjiiski, have been barred from the securities industry for insider trading.
SEC Approves Expanding Disseminated Real-Time TRACE Data
FINRA® 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 theMunicipal Securities Rulemaking Board (MSRB).
FINRA Revises the Sanction Guidelines
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).
INFORMATIONAL
Single Arbitrator Pilot Program
Effective Date: May 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Arbitration
Direct Communication with Single Arbitrator
Neutral List Selection System
Reduced Hearing Session Fees
Single Arbitration Pilot
Executive Summary
On February 15, 2000,1 the Securities and Exchange
Washington, DC - A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 will stand, according to a ruling issued today by the National Adjudicatory Council (NAC), the appeals body of the Financial Industry Regulatory Authority (FINRA).
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday,
When you buy a stock, you're buying part ownership of a company and an opportunity to partake in its successes (or failures) over time, but it can be hard to compare different stocks. A company’s earnings per share (EPS), price-to equity ratio (P/E) and other ratios can help you compare companies of different sizes.
For the period of 4/1/2024 through 4/30/2024#7M SECURITIES, L7M SECURITIES, LLCCHARLOTTE, NC, USARESIGNEDAABEL NOSER, LLC.ABEL NOSER, LLC.NAME CHANGED TO: ANOS CAPITAL, LLCABEL NOSER, LLC.ANOS CAPITAL, LLCNEW NAME OF: ABEL NOSER, LLC.AFL-CIO ITC FINAAFL-CIO ITC FINANCIAL, LLCWASHINGTON, DC, UNITED STATESRESIGNEDALTI STRATEGIC AALTI STRATEGIC ADVISORY (US) BD, LLCNEW YORK, NY, UNITED