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7 Mar 2022, 12:34 pm
FINRA recently published its 2021 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with guidance and insights gathered by FINRA’s Examinations and Risk Monitoring programs over the course of the year. [read post]
30 Jul 2017, 11:36 am
This followed on the heels of a bar issued by FINRA in 2014. [read post]
7 Nov 2017, 6:15 am
(FINRA Case #2015046537501) Walter Joseph Marino (CRD #2121623, Dix Hills, New York) – Marino was named in an amended FINRA complaint in which an additional cause of action was added to a FINRA complaint originally filed on April 24, 2017. [read post]
24 Jan 2013, 9:00 am
FINRA currently regulates broker-dealers. [read post]
13 Jan 2018, 1:53 pm
FINRA also found that Botkin lied to his firm about his participation in this investment dealing when asked about it. [read post]
7 Feb 2008, 2:26 am
Of course, in our current situation, these investments are now a problem, and FINRA is conducting sweeps.According to press reports, FINRA is focusing on three particular types of CMOs: principal-only, interest-only and inverse floaters. [read post]
26 Jan 2021, 4:42 pm
In addition to imposing a two-month suspension, FINRA also fined Mr. [read post]
21 Mar 2011, 2:14 pm
Finra hires big gun to lobby for advisor biz SRO [read post]
26 Oct 2009, 2:03 pm
FINRA requires brokerage... [read post]
16 Jun 2020, 6:40 am
” FINRA arbitration is separate and distinct from FINRA’s regulatory obligations. [read post]
28 Jun 2022, 5:26 am
The Financial Industry Regulatory Authority (FINRA) regulates securities brokers and brokerage firms, and FINRA arbitration provides a streamlined forum for defrauded investors to pursue claims for recovery. [read post]
4 Apr 2024, 10:23 am
FINRA Dispute Resolution FINRA, the regulator who oversees brokers and brokerage firms, provides FINRA Dispute Resolution as an arbitration venue for investors with claims against their brokerage firm or financial advisor. [read post]
5 Aug 2021, 12:33 pm
FINRA Rules Require Those Engaged in Securities Business To Register FINRA Rule 2010 requires that “[e]ach person engaged in the investment banking or securities business of a member shall be registered with FINRA as a representative or principal. [read post]
12 Feb 2024, 12:12 pm
The FINRA claim seeks damages in an amount between $1,000,000 and $2,525,000. [read post]
29 Mar 2024, 11:47 am
FINRA states “Pursuant to FINRA Rule 9552(h) and in accordance with FINRA’s Notice of Suspension and Suspension from Association letters dated June 2, 2023, and June 26, 2023, respectively, on September 5, 2023, Wilhelm is barred from association with any FINRA member firm in all capacities. [read post]
22 Oct 2008, 3:00 pm
Through Regulatory Notice 08-57, FINRA announced last week that its first batch of new rules to be placed in the FINRA rulebook (consolidating and revising NASD and NYSE rules) will become effective on December 15, 2008, following their recent approvals by the SEC. [read post]
15 Oct 2013, 11:20 am
FINRA's report does not pull any punches. [read post]
18 Nov 2010, 12:24 pm
The SEC granted approval, on an accelerated basis, to FINRA's proposed rule change to adopt FINRA Rule 2090 (Know Your Customer) and FINRA Rule 2111 (Suitability) in the consolidated FINRA rulebook. [read post]
13 Apr 2011, 1:53 pm
FINRA designated... [read post]
19 Oct 2011, 12:37 pm
FINRA filed with the SEC proposed FINRA Rule 5123, which would require that members and associated persons that offer or sell private placements (as described in the Rule), or participate in the preparation of private placement memoranda (“PPM”), term sheets... [read post]
