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).
Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change Relating to District Committee Structure and Governance
When it comes to retirement savings, even the most adventurous seniors may consider something routinely described as "plain vanilla": a fixed immediate annuity. With an immediate annuity, the investor pays an insurance company a lump sum in exchange for regular income payments. Both fixed and variable immediate annuities deliver income quickly, but there are differences.
Proposed Rule Change Relating to FINRA Rule 4210 (Margin Requirements)
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 theMunicipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Revise the Series 17 Examination Program
