FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
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Executive Summary
On July 24, 2002, the Securities and Exchange Commission (SEC)
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
With the consolidation of NASD and NYSE Member Regulation, the Financial Industry Regulatory Authority (FINRA) became the largest non-governmental regulator for all securities firms doing business in the United States.
SEC Approves New Rules Governing Communications With the Public
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
Additional Guidance on FINRA’s New Suitability Rule
Monthly Disciplinary Actions June 2018
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 the Municipal Securities Rulemaking Board (MSRB).
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 the Municipal Securities Rulemaking Board (MSRB).
