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Firm Registration

December 8, 2009 karen

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RSS FINRA Notices

  • Election Notice – 9/6/2022
    Summary The purpose of this 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 […]
  • Election Notice – 9/6/22
    Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
  • Election Notice – 8/22/2022
    Summary The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice. […]
  • Election Notice - 8/09/22
    Summary FINRA will conduct a special meeting of large firm members on or about October 31, 2022, to elect one individual to fill a vacant Large Firm Governor seat on the FINRA Board of Governors (FINRA Board).1 A formal notice of the special meeting, including the precise date, time and location, will be mailed to executive […]

RSS SEC Press Releases

  • SEC Charges 16 Wall Street Firms with Widespread Recordkeeping Failures
    The Securities and Exchange Commission today announced charges against 15 broker-dealers and one affiliated investment adviser for widespread and longstanding failures by the firms and their employees to maintain and preserve electronic communications.…
  • SEC Charges Oracle a Second Time for Violations of the Foreign Corrupt Practices Act
    The Securities and Exchange Commission announced settled charges requiring Oracle Corporation to pay more than $23 million to resolve charges that it violated provisions of the Foreign Corrupt Practices Act (FCPA) when subsidiaries in Turkey, the United…
  • SEC Charges Father-Son Duo and Associate in Market Manipulation Schemes Resulting in a New Jersey Deli with a $100 Million Valuation
    The Securities and Exchange Commission today charged Peter L. Coker Sr., Peter L. Coker Jr., and James T. Patten for their roles in orchestrating fraudulent manipulative securities trading schemes. These schemes included artificially inflating the…

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  • IA’s: 2022 Annual Rule 206(4)-7 Reviews February 7, 2022

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