SEC Approves New Supervision Rules
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).
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).
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
The Contra Reporting Firm 20 Minute Compliance Report Card is a monthly status report on compliance for market participants with the requirement that Contra Firms accept / decline / compare trades within 20 minutes of trade execution. It provides information about the number of trades that were accepted / declined / compared within 20 minutes of execution, along with the number of trades that
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Form BD (Uniform Application for
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Form U5 (
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).
Investor trust and confidence have plummeted to historic lows. But if there is a silver lining amidst these dark clouds, it is that the turmoil creates an opportunity to “fix the plumbing” of the U.S., and global, regulatory architecture – patching the leaks, but also modernizing the piping in such a way to promote market stability and investor confidence, and lay the groundwork for renewed growth and stability.
