FINRA collated SEC staff bulletins and FINRA resources to improve member compliance with Regulation Best Interest.
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A firm settled separate charges with FINRA and Nasdaq for surveillance failures over potentially manipulative trading by a customer subject to heightened supervision.
FINRA warned its members of the rising trend in fraudulent customer account transfers through the Automated Customer Account Transfer Service.
The effective date for amendments that harmonize FINRA rules on customer account statements with NYSE rules and guidance will be January 1, 2024.
A broker-dealer settled FINRA charges for failing to (i) collect investment profile information for customers participating in private placement offerings and (ii) file certain required corporate offering filings.