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December 8, 2009 karen

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RSS feed: FINRA Notices FINRA Notices

  • Regulatory Notice 26-16
    Summary FINRA has amended its TRACE rules to expand the scope of the principal transaction indicator (previously applicable only to transactions with non-member affiliates) to also include transactions with member affiliates. This change will improve transparency in TRACE-eligible securities by streamlining dissemination of same-priced prints reflecting related transactions between a member and its member affiliate. The […]
  • Information Notice 8/3/26
    SummaryFINRA is providing information in this Notice to remind registered persons and firms of the continuing education (CE) requirements, including:
  • Regulatory Notice 26-15
    SummaryA broker-dealer’s duty of best execution is a key investor protection and safeguard of market integrity. FINRA Rule 5310, together with its related body of interpretive guidance, provides principles-based standards for member firms in connection with their duty to ascertain the best market for their customers’ orders.
  • Regulatory Notice 26-14
    Summary FINRA seeks comment on a proposal to modernize Rule 2210 (Communications with the Public).

RSS feed: SEC Press Releases SEC Press Releases

  • SEC Charges Founder and His Two New Jersey-Based Companies in Alleged $16 Million Ponzi Scheme
    The Securities and Exchange Commission today charged Ernest Ossei Boateng and two New Jersey-based companies he controls, Intercontinental Wealth Network LLC and I Wealth Network LP, for allegedly raising approximately $16 million from more than 200…
  • SEC Proposes Rescission of Political Contribution Rule for Investment Advisers
    The Securities and Exchange Commission today issued a proposal to rescind its “pay-to-play” rule that prohibits investment advisers from providing compensated investment advisory services to a government client for two years…
  • SEC Investor Advisory Committee to Host Sept. 10 Meeting
    The Securities and Exchange Commission’s Investor Advisory Committee will host a public meeting at the SEC Headquarters in Washington D.C. on Sept. 10 at 10 a.m. ET to discuss artificial intelligence technologies in the public markets and the SEC’s…

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  • REMINDER: Compliance with Reg S-P Amendments Due Soon for “Smaller Entities” May 18, 2026

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