There is no higher priority for FINRA than protecting senior investors from financial exploitation. Thus, every year we bring dozens of enforcement actions against brokers who harm senior investors, either through fraud schemes, conversion, churning of accounts, or otherwise. In this post, I want to highlight one pattern we have seen with increasing frequency in which certain brokers have
Firms cited several different benefits and challenges they encountered during their cloud journey.
In particular, firms noted that in assessing the potential benefits and challenges related to the use of cloud computing it is important to assess them in comparison to the other alternatives available to firms, such on-prem environments (which carries its own relative benefits and challenges). The
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Amendments to the Non-Cash Compensation Provisions of NASD Rule 2710 (Corporate Financing) and Rule 2810 (Direct Participation Programs)
This User Support page provides links to help and training resources for users of CRD. Listed below are a variety of user support documentation created to provide CRD users with assistance that ranges from high-level overview to step-by-step detailed instructions.
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
By Robert Cook, President and CEO, and Greg Ruppert, Executive Vice President, Member Supervision, FINRA. From 2021 to 2024, the SEC brought enforcement actions against numerous FINRA member firms for recordkeeping violations involving off-channel communications (OCCs) and settled them on substantially similar terms. In January 2025, the SEC brought additional OCC-related actions against other member firms but settled these on significantly less burdensome terms. A group of firms settling before 2025 petitioned the SEC to modify their settlements to align with the January firm settlements. The SEC recently denied this petition.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOptions*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Rules of Fair Practice creating a separate section relating to options communications with the public. The
J K R & COMPANY, INC.7145 WOODLEY AVE, VAN NUYS, CA 91406J. ALDEN ASSOCIATES, INC.37 WEST AVE, SUITE 301, WAYNE, PA 19087Mailing Address: 37 WEST AVE, SUITE 300, WAYNE, PA 19087J. D. SEIBERT & COMPANY, INC.20 WEST 9TH STREET, CINCINNATI, OH 45202-2024J. STREICHER & CO. L.L.C.28 LIBERTY STREET 6TH FLOOR, NEW YORK, NY 10005J. WOOD CAPITAL ADVISORS LLC1820 CALISTOGA ROAD,
