FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
Executive Summary
The 1996-97 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for NASD® personnel assessments, NASD branch-office fees, and American Stock Exchange (ASE), Chicago Board Options Exchange (CBOE), New York Stock Exchange (NYSE
In 2002, FINRA Dispute Resolution became concerned about the length of time it takes to resolve arbitrations involving senior or seriously ill parties.
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
TRACE for Securitized Products CTCI (v1.2)
Suitability for Retail Customers
Fixed Income Mark-up Disclosure
Reasonable Diligence for Private Placements
Abuse of Authority
On Demand presentations from TRACE
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make reported short sale trading data publicly available.
