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).
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
<p>If a member engages in a TRACE-eligible securities transaction that is part of an open market issuer repurchase, the member would not be in compliance with Rule 6230 if the member failed to report the transaction in reliance on Rule 6230(e)(3).</p>
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Executive Summary
The Office of General Counsel, NASD Regulation, Inc. (NASD RegulationSM) and Office of General
This is copy and pasted from a Reddit post but outlines exactly what I want to see to ensure all the cards are on the table. I also want something done about payment for order flow and people like Robinhood being able to sell me shares for more than NBBO. Rule 1. All short sale shall be reported to finra by end of each settlement day. Rule 2. Finra shall make public report the day to day short
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to amend FINRA rules to address duplicative requirements.
I oppose any change to the current rules which would prohibit or limit the use of the funds under the proposed rule. These funds provide unique opportunities for investors - many of which are individual investors - to enhance returns that would not be available in the absence of these investment vehicles. Please do not impose this Proposed Rule. Thank you
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules 2111 (Suitability), 2310 (Direct Participation Programs), 2320 (Variable Contracts of an Insurance Company), 2341 (Investment Company Securities), and 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements), and
The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
