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December 8, 2009 karen

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RSS FINRA Notices

  • Regulatory Notice 20-33
    Summary FINRA is proposing formal procedures for bringing actions against non-associated persons who cheat or misbehave during a FINRA qualification examination. Although there are few instances of cheating, because persons who are not yet associated with a member firm may take the Securities Industry Essentials (SIE) examination or other FINRA qualification examinations, formal procedures are […]
  • Regulatory Notice 20-32
    Summary FINRA has recently observed an increase in fraudulent options trading being facilitated by (1) account takeover schemes (sometimes referred to as account intrusions), through which a bad actor gains unauthorized entry to a customer’s brokerage account; and (2) the use of new account fraud1 by a bad actor who fraudulently establishes a brokerage account […]
  • Election Notice – 9/1/20
    Summary The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the South region and one representing the Midwest region.   
  • Election Notice – 9/1/20
    Summary  The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA […]

RSS SEC Press Releases

  • SEC Charges Index Manager and Friend With Insider Trading
    The Securities and Exchange Commission today charged Yinghang “James” Yang, a senior index manager at a globally recognized index provider, and his friend Yuanbiao Chen, a manager at a sushi restaurant, with perpetrating an insider-trading scheme that…
  • SEC Charges Ponzi Scheme Targeting U.S. Military Service Members
    The Securities and Exchange Commission today announced settled charges against a Colorado man for defrauding investors, including cadets at the U.S. Air Force Academy. The SEC’s complaint alleges that over a two-year period, Milton J. Dosal, Jr. raised…
  • SEC Issues $2.4 Million Whistleblower Award
    The Securities and Exchange Commission today announced an award of $2.4 million to a whistleblower whose timely submission of information prompted the agency to initiate an investigation and bring an enforcement action that stopped ongoing misconduct,…

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  • Form CRS Filing Deadline June 30 May 19, 2020

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