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December 8, 2009 karen

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RSS FINRA Notices

  • Regulatory Notice 18-25
    Summary FINRA is issuing this Notice to remind Alternative Trading Systems (ATSs) of their supervision obligations. As registered broker-dealers and FINRA members, ATSs—like other broker-dealer trading platforms—are required to maintain supervisory systems that are reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules, including, for example, rules on […]
  • Election Notice – 8/13/18
    FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
  • Regulatory Notice 18-24
    Update to Security Futures Risk Disclosure Statement and Supplement
  • Special Notice – 7/30/18
    FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry

RSS SEC Press Releases

  • SEC Charges Technology Fund Adviser, Founder in Fraudulent Scheme
    The Securities and Exchange Commission today charged the founder of San Francisco-based venture capital funds and his investment advisory firm with overcharging investors to fund personal projects, including sending millions of dollars to his own virtual reality production company. The SEC’s complaint alleges that Michael B. Rothenberg, 34, marketed his advisory firm, Rothenberg Ventures LLC, as uniquely […]
  • Merrill Lynch Settles SEC Charges of Undisclosed Conflict in Advisory Decision
    The Securities and Exchange Commission today announced that Merrill Lynch, Pierce, Fenner & Smith has agreed to pay approximately $8.9 million to settle charges that it failed to disclose a conflict of interest arising out of its own business interests in deciding whether to continue to offer clients products managed by an outside third-party advisory firm.   The […]
  • SEC Adopts Rule Amendments to Improve Municipal Securities Disclosure
    The Securities and Exchange Commission adopted amendments to enhance transparency in the municipal securities market. The adopted amendments to Rule 15c2-12 of the Securities Exchange Act will focus on material financial obligations that could impact an issuer’s liquidity, overall creditworthiness, or an existing security holder’s rights. “Our municipal securities market is a $3.844 trillion dollar […]

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  • Time to Prepare for Your Rule 3120 Annual Review
  • Cybersecurity: Taming the Lion
  • Preparing for the New Form ADV Amendments

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