Phone-In Workshop Recording
Original Program Date: Monday, July 10, 2017
The SEC’s Regulation Crowdfunding went into full effect in May 2016. During this 60-minute phone-in workshop recorded in July 2017, FINRA and SEC staff answered frequently asked questions from funding portal members and others about Regulation Crowdfunding and FINRA’s Funding Portal Rules. During the call, staff from FINRA
Series 50—the Municipal Fund Securities Limited Principal Qualification Examination (FP)—is a Municipal Securities Rulemaking Board (MSRB) exam.
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).
CodeExplanationCDPD*Firm provided barcode on form filing and awaiting receipt of fingerprints for processing.CLERFBI result indicating No Data was identified for fingerprints submitted.CLRXFBI result indicating No Data was identified based on Name Check search.COMPFINRA staff has completed review of CHRI identified by the FBI in response to fingerprints submitted.CMPXFINRA staff has completed
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
FINRA Rule 2360(b)(3)(B) provides that “…no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee thereof, or for the account of any customer, an opening transaction in an option contract of any class of index options dealt in on an exchange if the member has reason to believe that as a result of such transaction
Order/Trade Matching Changes for Stop Stock, PRP and ISO Exception Trades
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).
