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.
Proposed Rule Change to Make Non-Substantive Technical Changes to FINRA Rule 4521
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
NASD has filed with the SEC a proposed rule change to adopt Interpretative Material 3150 ("IM-3150") to establish exemptions from the reporting requirements of NASD Rule 3150.
Proposed Rule Change Relating to Amendments to FINRA Rule 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements)
To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the pilot period related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) to the close of business on April 18, 2022.
Amendment to NASD Rule 1050 Related to Registration and Qualification of Research Analysts
SEC Approves the CAT Fee Dispute Resolution Process
