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Women in Compliance

April 29, 2016 karen

We are excited to announce that our CEO, Karen Steighner, is a member of Women in Compliance.

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RSS FINRA Notices

  • Regulatory Notice 21-06
    Summary In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board […]
  • Regulatory Notice 21-05
    Summary The SEC has issued an Order1 that permits specified FINRA members an additional 30 calendar days for filing their annual reports as required pursuant to SEA Rule 17a-5(d), subject to certain conditions. The SEC’s Order is in response to a request by FINRA that is designed to ease potential burdens that smaller members may face […]
  • Information Notice 2/16/21
    Summary Effective February 25, 2021, 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 $22.10 per million dollars in transactions to a new rate of $5.10 per million dollars in transactions. Finance-related questions should be directed to:  
  • Regulatory Notice 21-04
    Summary FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to: (1) increase the additional hearing-day honorarium chairs receive for each hearing on the merits from $125 to $250 and (2) create a new $125 chair honorarium for each prehearing conference in which the chair participates.1 To fund the increase […]

RSS SEC Press Releases

  • Fee Rate Advisory #3 for Fiscal Year 2021
    Pursuant to Section 31(j)(2) of the Securities Exchange Act of 1934, the Commission has determined that a mid-year adjustment to the Section 31 fee rate for fiscal year 2021 is not required. These adjustments do not directly affect the amount of funding…
  • SEC Suspends Trading in Multiple Issuers Based on Social Media and Trading Activity
    As part of its continuing effort to respond to potential attempts to exploit investors during the recent market volatility, the Securities and Exchange Commission today suspended trading in the securities of 15 companies because of questionable trading…
  • SEC Issues Whistleblower Awards Totaling Over $1.7 Million
    The Securities and Exchange Commission today announced awards totaling more than $1.7 million to two whistleblowers in separate proceedings.  Both whistleblowers provided Forms TCR to the Commission within 30 days of their first learning of the Form…

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  • Form CRS Filing Deadline June 30 May 19, 2020

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