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WASHINGTON—FINRA announced today that it has fined Barclays Capital Inc. (Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’...
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The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their CareersWASHINGTON—The FINRA Investor Education Foundation...
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WASHINGTON—FINRA announced today that it has fined Barclays Capital Inc. (Barclays Capital) $2 million for failing to comply with its best execution obligations in connection with its customers’...
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The Fellowship Program Gives Military Spouses Resources and Accreditation to Help Their Community Overcome Financial Strains and Advance Their CareersWASHINGTON—The FINRA Investor Education Foundation...
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Firm Also Failed to Maintain Supervisory System, Report Customer ComplaintsWASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence...
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Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine MoniesWASHINGTON—FINRA’s Board of Governors met on...
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Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot WASHINGTON – FINRA today published the 2023 Industry Snapshot, the...
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FINRA, NFA Expand MOU to Include Information Sharing, CollaborationWASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of...
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Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision RulesWASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for...
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Report Examines Attitudes, Behaviors of Investors Ages 18 to 25WASHINGTON—FINRA Investor Education Foundation (FINRA Foundation) and CFA Institute have released a new report, Gen Z and Investing:...
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Board Appoints Lisa Fairfax as New Public Governor, Approves 2022 Annual Financial Report and Adds New Members to Advisory CommitteesWASHINGTON—FINRA's Board of Governors met on May 17-18 for the...
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Regulators to Discuss Protecting Seniors During World Elder Abuse Awareness DayWASHINGTON—The Securities and Exchange Commission (SEC), the North American Securities Administrators Association (NASAA)...
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Firm Violated Reg BI, Excessively Traded, and Churned Numerous Customer Accounts, Including Those of Gold Star FamiliesWASHINGTON—FINRA announced today that it has expelled Monmouth Capital Management...
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Firm Failed to File Nearly 1,500 Suspicious Activity ReportsWASHINGTON—FINRA announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Inc. $6 million for failing to establish and...
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Board Re-Elects Chair, Re-Appoints Public Governors, and Approves Three Rulemaking ItemsWASHINGTON—FINRA’s Board of Governors met on July 12-13 for the third time in 2023. During the meeting, the Board...
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In the interest of transparency and clarity, FINRA is posting the correspondence between FINRA and Next Bridge Hydrocarbons referenced in their July 26, 2023, press release
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FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately. St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and...
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Fellowship Program Grants Military Spouses the Opportunity to Achieve the AFC Credential and Help Address Unique Financial Circumstances in Military CommunitiesWASHINGTON—The FINRA Investor Education...
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FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond...
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FINRA’s Board of Governors met on September 13-14 in Philadelphia. In addition to continuing discussions around FINRA’s Regulatory Operations, the Board reaffirmed FINRA’s Financial Guiding Principles.
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