A municipal securities firm settled FINRA charges for failing to file complete and timely quarterly reports with the Municipal Securities Rulemaking Board and for failing to establish, maintain, and enforce an adequate supervisory system.
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A broker-dealer settled FINRA charges for failing to timely report certain customer complaints and for failing to report customer settlements exceeding $25,000.
A broker-dealer settled charges with FINRA for failing to file required information in connection with private placement offerings sold to retail investors.
FINRA published 2024 due dates for Annual Report, Financial and Operation Combined Uniform Single, Form Custody and supplemental FOCUS Report filings.
The SEC set an effective date of January 2, 2024 and accompanying compliance dates for new Exchange Act Rule Rule 10c-1. The final rule was published in the Federal Register.