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WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that it has ordered two St. Louis-based broker-dealers – Stifel, Nicolaus & Company, Incorporated and Century Securities Associates, Inc. – to pay combined fines of $550,000 and a total of nearly $475,000 in restitution to 65 customers in connection with sales of leveraged and inverse exchange-traded funds (ETFs). Stifel and Century are affiliates and are both owned by Stifel Financial Corporation.
The DBAs and Communications with the Public section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
As of June 1, 2023
Chairperson
Nicole Iannarone
Drexel University
Thomas R. Kline School of Law
Philadelphia, PA
(Public)
Public
Omar Bengali
Girard Bengali APC
Los Angeles, CA
Scott Eichhorn*
University of Miami School of Law
Coral Gables, FL
Peter Mougey
Levin Papantonio Rafferty
Pensacola, FL
Darlene Pasieczny*
Samuels Yoelin Kantor LLP
Portland, OR
Patricia Vannoy*
Mattson Ricketts
Regulators and industry participants are weighing the balance between opportunities presented by financial technologies like data aggregation with potential risks these new innovations may pose to investors and markets. On April 12, 2018, FINRA hosted a FinTech Roundtable with member firms in New York City focused on this topic, along with current trends in RegTech and Personal Financial
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our annual
2018 Regulatory and Examination Priorities Letter
The Net Capital and Credit Risk Assessments section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today the election of Governors to its Board of Governors.
Stephen M. Cutler, Executive Vice President and Vice Chairman, JPMorgan Chase & Co., was elected as a Large Firm Governor, one of three representatives of large firms on the Board. Cutler has been a FINRA Governor since November 2016, when he was appointed
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Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon.
I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and efficient capital markets. Since joining FINRA a few months ago, I have had good conversations with SIFMA members and staff about a variety of industry issues and I
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 4, 2017
Today, FINRA is publishing its
2017 Regulatory and Examination Priorities Letter
(the Priorities Letter). This letter provides