An introducing broker-dealer settled FINRA charges for misclassifying its owner's personal expenses as business expenses and failing to register and supervise an unregistered individual serving as a principal of the firm.
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A broker-dealer settled FINRA charges for failing to timely disclose reportable events of its associated persons.
A broker-dealer settled FINRA charges for failing to properly monitor outside brokerage accounts opened by its representatives.
FINRA set an effective date of June 1, 2023 for amendments to rules on the disclosure of BrokerCheck's designation of "Restricted Firms."
The SEC granted "accelerated approval" of a FINRA rule proposal, as modified by "Amendments Nos. 1 and 2," to change the process relating to the expungement of customer dispute information in FINRA's Codes of Arbitration Procedure.