FINRA Foundation and AFCPE® Present the 2025 FINRA Foundation Military Spouse Fellows
Fellowship Program Provides Military Spouses with Best-in-Class Financial Counseling Training and Enriching Career Opportunities
2023077507401 National Bank of Canada Financial Inc. CRD 22698 AWC lp.pdf
From July 2016 through June 2024, National Bank of Canada Financial inaccurately
reported to the Trade Reporting and Compliance Engine (TRACE) approximately
108,000 transactions without the required "No Remuneration" (NR) indicator, in
violation of FINRA Rules 6730( d) and 2010. For this violation, National Bank of Canada
Financial is censured and fined $70,000.
23-00502(4).pdf
order to confirm
2023079996901 Timothy Daniel Curran CRD 2308853 AWC lp.pdf
From June 2023 to September 2023, in anticipation of leaving RJA for a new firm,
Curran improperly sent confidential and proprietary information from RJA’s systems,
including nonpublic information about RJA’s customers, by emailing it to his personal
email address and by printing and retaining documents. This information was directly
relevant to Curran’s new position, and he accessed some of the information after moving
to the new firm.
Regulatory Notice 25-12
FINRA is making available updates to the Interpretations of Financial and Operational Rules (Interpretations). The updates include several new interpretations to Securities Exchange Act (SEA) Rules 15c3-1 and 15c3-3 that have been communicated to FINRA by the staff of the SEC’s Division of Trading and Markets.