FINRA issued Regulatory Notice 19-28 to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision)...
CN Editor
August 19, 2019
FINRA ORDERS THREE FIRMS TO PAY OVER $8.2 MILLION IN RESTITUTION TO CUSTOMERS
FINRA BOARD APPOINTS PUBLIC GOVERNOR AND DISCUSSES BUDGET, RULES REGARDING OUTSIDE BUSINESS ACTIVITIES AND PRIVATE SECURITIES TRANSACTIONS, AND 2025 REGULATORY OVERSIGHT REPORT
GUIDANCE ON UMIR REQUIREMENTS RELATED TO SHORT SELLING AND FAILED TRADES
FINRA POISED TO HIKE BROKER"S FEE
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CIRO SANCTIONS FORMER GRAVITAS SECURITIES INC. REP FROM TORONTO, ON
NEW CIRO MEMBER - NDAX CANADA INC.
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NBF SETTLES SUPERVISORY ALLEGATIONS WITH MX