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).
GUIDANCE
Corporate Debt Securities
Effective Date: June 17, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
This ruling unfairly limits the ability to invest and profit or lose accordingly. Requiring education to the investor is reasonable but prohibiting access is rigging the game. It's understood that this environment carries heightened risk for these products. Putting a ruling like this in place now will restrict individuals access to these products in the future when risk is much lower,
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 12100, 12202, 12214, 12309, 12400, 12601, 12702, 12801, and 12900 of the Code of Arbitration Procedure for Customer Disputes (“Customer Code” or “Code”) to expand a customer’s options to withdraw an arbitration claim if a
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as approved by the SEC pursuant to SR-FINRA-2015-036. The proposed rule change would amend, under FINRA Rule 4210, paragraphs (e)(
I would like to see you actually enforce your rules. Not reminders, a actual punishment. Also not a "yeah we saw you steal 700 mil so we're just going fine you 70 mil and you can be on your way." No all of it. Everything that was taken, taken back. From what I have seen you don't enforce ur SSR rule, Threshold list rules, naked shorting rules, payment for order flow rules ect
GUIDANCE
Mediators as Arbitrators
Effective Date: May 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Arbitration
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved a new Interpretive Material (IM) to Rule 10308 of the NASD Code of Arbitration Procedure (Code)
<p>Priced quotations by an ECN or ATS displayed on the OTC Bulletin Board are considered priced quotations for purposes of compliance with Rule 2320(g)(1).</p>
Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
