MRTS 2.0: A Redesign for a Rapidly Evolving Market
Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more.
FINRA Fines M1 Finance $850,000 for Violations Regarding Use of Social Media Influencer Program
FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory, or misleading claims.
22-00388(4).pdf
Order to Vacate
23-01302(3).pdf
Motion to Vacate
22-00388(3).pdf
Motion to Vacate
2019062348302 Stifel, Nicolaus & Company, Inc. CRD 793 AWC lp (2024-1713140412159).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019062348302
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Stifel, Nicolaus & Company, Inc. (Respondent)
Member Firm
CRDNo. 793
Pursuant to FINRA Rule 9216, Respondent Stifel, Nicolaus & Company, Inc. (Stifel) submits
this Letter of Acceptance, Waiver, and Consent (A WC) for the purpose of proposing a settlement
of the alleged rule violations described below.