FINRA notified broker-dealers of the due dates on filing requests for extensions of time to satisfy margin deficiencies prior to and after the 2023 holidays (when the exchanges or banks are closed).
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A firm settled FINRA charges for failing to calculate customer reserves accurately.
A firm settled FINRA charges for inadequate written supervisory procedures and failing to make timely private placement filings.
A firm settled FINRA charges for failure to comply with short interest reporting requirements and related supervisory failures concerning certain foreign-listed securities.
FINRA released a copy of the revised Private Placement Filer Form, including amended questions relating to information about participating members, issuers, and offerings. FINRA will begin using the updated form on May 22, 2017.