Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2023 or the first quarter of 2024.1 FINRA reminds members that all such filings they submit to FINRA must be made electronically
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).
Summary
FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.
Questions concerning this Notice should be directed to:
Michael Garawski, Associate General
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).
REQUEST FOR COMMENT
Gifts and Business Entertainment
Comment Period Expires February 23, 2006
The comment period has been extended to March 3, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Institutional
Legal and Compliance
Retail
Senior Management
Training
Business Entertainment
Commercial Bribery
Gifts and Gratuities
Rule 3060
Executive Summary
NASD is proposing
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).
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 8 representative
North Region Committee, District 9 representative
South Region Committee, District 7
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).
Monthly Disciplinary Actions April 2018
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Syndicate
Executive Summary
On June 1, 1995, the Securities and Exchange Commission (SEC) approved amendments to Part II, Section 1(c) of Schedule D to the NASD By-Laws and Section 11 of the NASD's Uniform Practice Code.1 The amendments require that for a domestic security2 to be
