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).
Please note, FINRA is restating the 144A High Yield Market Breadth and Market Sentiment End of Day numbers for Wednesday November 13, 2019.
The tables with the correct numbers are below. We apologize for any inconvenience.
FINRA TRACE Market Aggregate Information – 144A
FINRA TRACE Bond Market Activity
144A
All Issues
Investment Grade
High Yield
(a) Allocation Procedures and Customer Notice
Each member that has in its possession or under its control any security which, by its terms, may be called or redeemed prior to maturity, shall:
(1) establish and make available on the member's website procedures by which it will allocate among its customers, on a fair and impartial basis, the securities to be redeemed or selected as
Certified Regulatory and Compliance Professional (CRCP) designees are required to complete 12 hours of continuing education (CE) every three years as of their certificate anniversary award date. Now, you can choose your CRCP CE credits from a wide variety of convenient educational formats, including FINRA developed conferences, e-learning and classroom learning courses, online workshops and webcasts.
<p>NASD Rule 2110 - Standards of Commercial Honor and Principles of Trade</p>Member whose firm will cease to exist upon merger with an acquiring member that does not generally offer retail brokerage services may use negative response letters to accomplish the bulk transfer of its retail accounts to a broker-dealer affiliate of the acquiring member.
FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231 (Customer Account Statements)
(a) Confirmations or Comparisons
(1) Each party to the transaction shall send a written "when, as and if issued" or "when as and if distributed" confirmation or comparison in the same form as set forth in the Sample Form appearing in Supplementary Material .01 of this Rule and pursuant to the requirements of Rules 11210(a), 11220, and 11860.
(2) Each confirmation or
- Many of the leverage etfs, specially those which represents the broader market, such as UDOW (3x Dow Jones etf), have a long term upward movement and can be held long term if investors can stomach the volatility. Meaning if investor held them, they would have been rewarded. If you ignore the most recent downturn, UDOW since inception had an upward movement and rewarded investors more than 15
The Reporting Firm 10 Second Compliance Report Card are monthly status reports for market participant that contain counts of properly modified late trades, late trades that were not modified, and improperly modified trades.
Reporting Firm is defined as the firm that reported the Executing Party of the trade.
Member firms are required to report trades in accordance with established FINRA rules
