Recent Announcements for Industry Professionals

February 2015

Video

A Few Minutes With FINRA—2015 Regulatory and Examination Priorities Letter

 

News Release

Statement of Marcia E. Asquith, SVP and Corporate Secretary, on the Loss of Harvey J. Goldschmid

 

Email to Firms

Update: FINRA Board of Governors Meeting

 

Video

Board Video Report

 

News Release

Erozan Kurtas Named Head of FINRA's New Office of Advanced Data Analytics

 

Regulatory Notice

FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products

 

Regulatory Notice

FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes

 

FINRA Board of Governors

Rulemaking Items for Discussion at the February Meeting

 

Report

Report on Cybersecurity Practices

 

FINRA Podcast

January 2015 Monthly Recap

 

January 2015

FINRA Podcast

Quarterly Disciplinary Review – January 2015

 

FINRA Podcast

Fall 2014 Firm Element Advisory – Part 3

 

News Release

FINRA Hearing Panel Expels John Carris Investments and Bars CEO George Carris for Fraud

 

News Release

FINRA Hearing Panel Expels John Thomas Financial and Bars CEO Tommy Belesis

 

FINRA Podcast

December 2014 Monthly Recap

 

FINRA / SIFMA Cybersecurity Conference

Online brochure now available

 

Fixed Income Conference

Live broadcast registration now open; online brochure now available

 

Annual Conference

Live broadcast registration now open

 

News Release

FINRA Releases 2015 Regulatory and Exam Priorities Letter

 

Email

2015 Exam Priorities Overview

 

Regulatory Notice

SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities

 

Regulatory Notice

Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches

 

December 2014

News Release

FINRA Sanctions Monex Securities $1.3 Million for Failing to Register & Supervise Foreign Personnel

 

Information Notice

2015 and First Quarter of 2016 Report Filing Due Dates

 

News Release

FINRA Fines Pershing LLC $3 Million for Customer Protection Rule Violations and Supervisory Failures

 

Information Notice

2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule

 

FINRA Podcast

Fall 2014 Firm Element Advisory - Part 2

 

News Release

FINRA Signs Regulatory Services Agreement with CBOE and C2

 

News Release

FINRA Bars Broker for Stealing $89,000 From an Elderly Customer

 

News Release

FINRA Fines Wells Fargo Advisors/Wells Fargo Advisors Financial Network $1.5 Million for AML Failure

 

Regulatory Notice

FINRA Reminds Firms of Extended Hours Trading Disclosures

 

News Release

FINRA Fines Merrill Lynch $1.9 Million and Orders Restitution of $540,000 for Fair Pricing Violation

 

News Release

FINRA Fines 10 Firms a Total of $43.5 Million

 

News Release

FINRA Names New Floor Member Governor

 

Report

Retrospective Rule Review: Communications with Public

 

Report

Retrospective Rule Review: Gifts, Gratuities and Non-Cash Compensation

 

News Release

FINRA Issues Retrospective Rule Review Reports

 

FINRA Podcast

November 2014 Monthly Recap

 

Election Notice

FINRA Announces Results of SFAB, NAC and District Committee Elections

 

Email to Firms

Update: FINRA Board of Governors Meeting

 

Video

Board Video Report

 

E-Learning Course

Supervision: FINRA Rules 3110, 3120, 3150 and 3170