The Underwriter Financial Status Report is a monthly report designed to help firms evaluate the timeliness of financial disclosures made to EMMA, for issuances previously brought to market.
The purpose of this report is to highlights issuances lacking current audited financial filings (LCF) and the lateness of these missing financial filings, based on their anticipated filing time line.
The
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 theMunicipal Securities Rulemaking Board (MSRB).
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a validation of all
Washington, DC - FINRA announced today that it imposed a $1.1 million fine on Banorte Securities International, Ltd. for unsuitable sales of Class B shares in off-shore mutual funds as well as failing to have adequate supervisory systems to monitor those sales.
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.
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).
SEC Approves Expanding Disseminated Real-Time TRACE Data
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).
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
