Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
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 Requests Comment on FINRA Rules Impacting Capital Formation
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 4111 and 9561 to make non-substantive and technical amendments.
To the Financial Industry Regulatory Authority:We appreciate that FINRA is soliciting comment on how to modernize its regulatory framework in light of workplace evolution and technological change. While the opportunity to provide feedback is welcome, the timing of this initiative, coinciding with shifting political winds and broader deregulation narratives, raises serious concerns. There is a
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 member firms that use Cisco Secure Firewall Management Center (FMC) Software should be aware of a critical vulnerability that could allow a remote attacker to run malicious code on firm systems with full administrative privileges. This Cybersecurity Alert includes a link to a Cisco Security Advisory describing the vulnerability that includes additional guidance. FINRA recommends that member firms review this information with appropriate information technology and information security personnel.
Proposed Rule Change to Repeal NASD Rules 2760 and 2780, Incorporated NYSE Rules 2B and 411, and the Interpretation to Incorporated NYSE Rule 411(a)(ii)(5) as Part of the Process of Developing the Consolidated FINRA Rulebook
Proposed Rule Change to Amend FINRA’s Corporate Financing Rules to Simplify and Refine the Scope of the Rules
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).
