The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.“In recent years, the brokerage industry has continued to evolve and develop innovative services and technologies that have allowed millions
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At midnight on September 24, 2001, President Bush issued Executive Order 13224 (Executive Order) freezing the property of and prohibiting transactions with persons
FINRA published the 2024 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms and market activity that FINRA oversees.
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
February 12, 2002
The NASD Market Regulation staff urges firms transmitting order data to OATS via e-mail consider the option of downloading rejected data and resubmitting the file(s) via email. The NASD has established a new feature accessible via the OATS web site that will make the retrieval and resubmission of large volumes of rejected data easier and less time-consuming. On the OATS web
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
The premise of having public securities is the amount of available information to make an intelligent and informed decision. Leveraged ETFs come with enough information. There are stocks from other countries listed that do not adhere to standard accounting practices or disclosures. Why target Leveraged ETFs and not the other investments?
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the September 2024 FINRA Board of Governors Meeting.
