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December 8, 2009 karen

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RSS FINRA Notices

  • Regulatory Notice 19-28
    Guidance Regarding Member Firms’ Supervisory Obligations when Participating in Investment-Related Activities with Municipal Clients
  • Regulatory Notice 19-27
    Summary FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The protection of senior investors is a top priority for FINRA. As such, FINRA is interested in whether additional tools, guidance or changes to FINRA rules or administrative […]
  • Regulatory Notice 19-26
    SEC Adopts Best Interest Standard of Conduct
  • Regulatory Notice 19-25
    FINRA Requests Comment on a Proposal to Require Reporting of Transactions in U.S. Dollar-Denominated Foreign Sovereign Debt Securities to TRACE

RSS SEC Press Releases

  • Cantor Fitzgerald and BMO Capital Charged for Improper Handling of ADRs
  • SEC Charges Former CFO of Cash Advance Company With Defrauding Retail Investors
  • SEC Releases Videos for Investors on Choosing and Working with a Financial Professional

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  • IA’s: 2019 Rule 206(4)-7 Annual Review Due NOW
  • Time to Schedule your 1Q19 Rule 3120 Annual Review & 3130 Certification
  • Cybersecurity: Taming the Lion

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