Displaying 101 - 110 of 34826 Results
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
The eFOCUS system provides firms with the capability to electronically submit their Financial and Operational Combined Uniform Single (FOCUS) Reports to FINRA. FINRA member firms are required to compose and submit FOCUS reports to FINRA pursuant to SEC Rule 17a-5.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 12214(e)(1) and 12904(g)(5) of the Code of Arbitration Procedure for Customer Disputes (“Customer Code”) and FINRA Rules 13214(e)(1) and 13904(g)(5) of the Code of Arbitration Procedure for Industry Disputes (“Industry
Con Artists Posing as FINRA CEO ‘Guarantee’ Fraudulent Investments
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors to beware of financial scams in which con artists are posing as regulators to make fraudulent investment pitches.
Recently, financial fraudsters used FINRA’s name and logo in correspondence – including a fake
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).
Extension of Time Requests Relating to FINRA Rule 4210
Statistical Overview of Brokerage Firms, Registered Individuals and Trading Activity
WASHINGTON—FINRA today published the FINRA Industry Snapshot 2018, its first annual statistical report on the brokerage firms, registered individuals and market activity that FINRA regulates.
The publication includes data ranging from the size and geographic distribution of the firms FINRA regulates to the
Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
WASHINGTON — Fifty military spouses living in the United States and abroad will have an opportunity to earn the Accredited Financial Counselor® (AFC®) designation to offer one-on-one financial and group counseling and education to service members and their families.
The FINRA Foundation Military Spouse Fellowship program, first launched in 2006, is a collaborative partnership administered by the
Effective with the October 3, 2011 OATS Release, the OATS Rules will require member firms to report to FINRA order information for all NMS stocks and OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities designated in the PORTAL Market are not reportable to OATS.