On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 7, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Code of Procedure setting forth, among other things, general procedures for
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
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).
SEC Approves Amendments to Arbitration Codes Relating to Subpoenas and Orders to Direct the Appearance of Witnesses and Production of Documents Without Subpoenas
INFORMATIONAL
Member Surcharges And Process Fees In Arbitrations
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration Fees
Code of Arbitration Procedure
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved increases to the member surcharges and process fees paid by member
Monthly Disciplinary Actions December 2017
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply With Rule Requirements
• Day-Trading Accounts—Failure to Comply With Risk
Monthly Disciplinary Actions June 2018
