NASDR has filed with the SEC a proposed rule change to create the Rule 9800 Series and to amend certain existing rules of the NASD that would establish procedures to enable NASD Regulation to issue temporary cease and desist orders. The proposed rule change also would grant NASD Regulation authority to take expedited disciplinary actions when temporary or permanent cease and desist orders are
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FINRA's Disciplinary Actions database enables users to perform Web-based searches for FINRA Actions that were issued from January 1, 2005 to the present free of charge, seven days a week.
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The Report Center provides firms with secure access to data and reports that help firms detect potential compliance problems early. FINRA Report Center provides report cards that cover a variety of topics and rulesets. Reports on the Report Center do not relieve a firm from compliance obligations imposed under FINRA’s By-Laws and Rules, and will not
