FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
The FINRA Board of Governors will consider the following rulemaking items at its February 2013 meeting.
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).
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).
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
The Series 34 exam—the Retail Off-Exchange Forex Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 30 exam—the NFA Branch Managers Examination—is a National Futures Association (NFA) exam administered by FINRA.
