A broker-dealer settled charges with FINRA for failing to properly oversee the outside business activities of two of its representatives.
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In a special notice describing the responsibilities of the Small Firm Advisory Committee, Regional Committees, National Adjudicatory Council, and FINRA Board of Governors, FINRA provided an overview of elected vacancies to be filled in 2022 and described how eligible individuals can qualify as candidates.
FINRA is encouraging member firms and other interested parties to participate in its advisory and ad hoc committees.
At its quarterly Board of Directors meeting, the MSRB voted to propose amending its rules to allow dealer firms to conduct office inspections remotely until December 31, 2022.
A broker-dealer settled FINRA charges for failing to disclose unsatisfied tax liens and judgments on a number of its registered representatives.