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18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
13 Apr 2013, 1:41 pm
At its April 18 meeting the FINRA board of governors will consider a proposed rule change to the Customer Code of Arbitration, to make it easier for customers to select a panel consisting of all public arbitrators (in claims over... [read post]
10 Aug 2009, 11:11 am
FINRA imposed a fine of $275,000 against Credit Suisse Securities (USA), LLC, for failing to comply fully with one of the key terms of the 2003 Global Research Analyst Settlement. [read post]
15 Nov 2011, 7:42 am
For this reason, FINRA... [read post]
12 Oct 2009, 1:32 pm
FINRA announced that it has fined Citigroup Global Markets Inc. $600,000 and censured the firm for failing to supervise complex trading strategies designed in part to minimize potential tax liabilities. [read post]
25 Oct 2011, 12:48 pm
FINRA announced that it fined UBS Securities LLC $12 million for violating Regulation SHO (Reg SHO) and failing to properly supervise short sales of securities. [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
8 Feb 2013, 1:39 pm
I missed the story when it appeared, but I ran into Reuters' Suzanne Barlyn at Brooklyn Law School's Conference on the Importance of Compliance today, and she filled me in on the news that FINRA CEO Rick Ketchum has backed... [read post]
12 May 2009, 1:44 pm
FINRA announced that it ordered Ramon Luis Dominguez, President of RD Capital Group in Puerto Rico, to pay restitution of $950,000 plus interest to three customers victimized when Dominguez and the firm charged undisclosed, excessive and fraudulent markups on the... [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
18 Aug 2021, 10:00 pm
A recent FINRA regulatory notice recasts existing obligations regarding outsourcing as a procedural roadmap for broker-dealers to “consider” when using third-party vendors. [read post]
9 May 2013, 11:14 am
The SEC and FINRA issued an investor alert, Pension or Settlement Income Streams – What You Need to Know Before Buying or Selling Them. [read post]
14 Jan 2013, 1:41 pm
FINRA has filed with the SEC a proposed rule change that would further tighten the definition of a "public arbitrator" to exclude persons associated with a mutual fund or hedge fund from serving as public arbitrators and to require individuals... [read post]
11 Dec 2009, 12:48 pm
An amendment to the House financial regulation legislation that would have subjected investment advisers associated with broker-dealers to FINRA regulation was defeated by voice vote. [read post]
29 Jun 2010, 2:56 pm
A FINRA hearing panel has permanently barred a former Deutsche Bank broker from the securities industry for manipulating the price of Monogram Biosciences (MGRM) stock in an effort to enrich a hedge fund client, himself and his family. [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
11 Jan 2011, 10:44 am
FINRA announced that it has ordered Charles Schwab & Company, Inc., to pay $18 million into a Fair Fund to be established by the Securities and Exchange Commission (SEC) to repay investors in YieldPlus, an ultra short-term bond fund managed... [read post]
18 Nov 2009, 11:46 am
FINRA announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public. [read post]
19 Jul 2010, 2:19 pm
The SEC approved FINRA's proposed rule change to amend Rule 12602 of the Code of Arbitration Procedure for Customer Disputes and Rule 13602 of the Code of Arbitration Procedure for Industry Disputes to provide that a non-party witness may be... [read post]
17 May 2021, 10:00 pm
The Financial Industry Regulatory Authority (FINRA) recently published Regulatory Notice 21-18 about roundtable discussions with 20 firms of various sizes and business models concerning customer account takeover incidents. [read post]
