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Disciplinary and Other FINRA Actions Reported for August 2011

1 Disciplinary and Other FINRA Actions FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).

Regulatory Notice 11-39

FINRA recognizes that the development of new technologies can facilitate the ability of associated persons to perform their responsibilties and, ...

Order Disapproving Proposed Rule Change to Amend FINRA Rule ...

SECURITIES AND EXCHANGE COMMISSION (Release No. 34-63885; File No. SR-FINRA-2010-055) February 10, 2011 Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Disapproving Proposed Rule Change to Amend FINRA Rule 6140 (Other Trading Practices) I. Introduction On ...

FINRA'S Proposed Rules 2210 and 2211

1 Attorney Advertisement News Bulletin July 26, 2011 FINRA'S Proposed Rules 2210 and 2211 As part of its continuing effort to create a consolidated rulebook, the Financial Industry Regulatory Authority, Inc. ("FINRA") has proposed a new FINRA Rule 2210 that would subsume, subject to certain ...

Notice of Filing of Amendment No. 1 to Proposed Rule Change ...

Notice of Filing of Amendment No. 1 to Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook

The Girl with the SEC/FINRA Tattoo: Disciplinary Actions ...

PRACTICAL COMPLIANCE & RISK MANAGEMENT FOR THE SECURITIES INDUSTRY • SEPTEMBER-OCTOBER 2011 9 © 2011, Sutherland Asbill & Brennan LLP Brian L. Rubin is a partner in the Washington, D.C. offi ce of Sutherland Asbill and Brennan, LLP, where he represents companies and individuals being examined ...

Spinning: FINRA Rule 5131

1 Attorney Advertisement News Bulletin October 18, 2010 Spinning: FINRA Rule 5131 On September 29, 2010, the Securities and Exchange Commission ("SEC") approved FINRA Rule 5131, on an accelerated basis, and solicited comments on the proposed final rule.

FINANCIAL CAPABILITY IN THE UNITED STATES

National Financial Capability Study 3 Initial Report, 2009 National Survey December 2009 INTRODUCTION In consultation with the U.S. Department of Treasury and the President'sAdvisory Council on Financial Literacy, the FINRA Investor Education Foundation commissioned a national study of the ...

Financial Services

BEIJING CHARLOTTE CHICAGO GENEVA HONG KONG LONDON LOS ANGELES MOSCOW NEW YORK NEWARK PARIS SAN FRANCISCO SHANGHAI WASHINGTON, D.C. www.winston.com Financial Services December 2009 FINRA Proposes New Rule to Govern Payments to Unregistered Persons On December 2, 2009, the Financial Industry ...

FINRA Establishes Qualification Rules for Investment Banking ...

Alert FINRA Establishes Qualification Rules for Investment Banking Professionals FINRA has adopted a new category for investment banking professionals - Limited Representative -Invest ment Banking ("Series 79").