FINRA sanctioned a supervisor and two brokers for engaging in a manipulative trading scheme to artificially inflate the market price and trading volume of the common stock of a technology company.
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FINRA proposed a rule change to extend the Tier Size Pilot for OTC equity securities until June 9, 2017. The pilot is currently set to expire December 9, 2016.
The SEC requested comments on a FINRA proposal to extend the Tier Size Pilot Program for OTC equity securities until June 9, 2017.
FINRA fined a financial institution for anti-money laundering and supervision violations.
FINRA proposed a change to certain rules that would extend the Tier Size Pilot Program for OTC securities until December 8, 2017.