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December 8, 2009 karen

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RSS FINRA Notices

  • Information Notice – 5/18/18
    Enhancements to FINRA’s May 18, 2018 Disclosure Review Process Relating to Public Financial Records
  • Information Notice - 5/7/18
    Summary Effective May 22, 2018, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $23.10 per million dollars in transactions to a new rate of $13.00 per million dollars in transactions. Finance-related questions should be directed to Amanda Rath, […]
  • Regulatory Notice 18-19
    FINRA Amends Rule 3310 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
  • Regulatory Notice 18-18
    FINRA Extends Effective Date of Margin Requirements for Covered Agency Transactions

RSS SEC Press Releases

  • SEC Charges Three Former Healthcare Executives With Fraud
    The Securities and Exchange Commission today announced fraud charges against three former Constellation Healthcare Technologies Inc. executives who falsified financial and other information they provided to a private firm in the course of negotiating the private firm’s acquisition of a majority stake in Constellation. Houston-based Constellation filed for bankruptcy in March, a little more than […]
  • SEC Charges Owner of Alternative Investment Firm in Belize Airport Financing Scam
    The Securities and Exchange Commission today charged the owner of a Manhattan-based alternative investment firm with misappropriating close to $6 million in investor funds earmarked to finance the construction of an international airport in Belize.  The SEC’s complaint alleges that between 2014 and 2017, Brent Borland sold more than $21 million of promissory notes to […]
  • The SEC Has an Opportunity You Won’t Want to Miss: Act Now!
    */ If you’ve ever been tempted to buy into a hot investment opportunity linked with luxury travel, the Securities and Exchange Commission has a deal for you. Check out the SEC’s Office of Investor Education and Advocacy’s mock initial coin offering (ICO) website that touts an all too good to be true investment opportunity. But […]

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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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