FINRA Regulatory Actions in Q1 2021
FINRA Regulatory Actions in Q1 2021 - ACA Group
The Financial Industry Regulatory Authority's (FINRA) Enforcement Division has issued its enforcement action summary reports for Q1 2021.
Summary of FINRA Regulatory Actions in 2021 - ACA Group
In 2021, the Financial Industry Regulatory Authority's (FINRA) Enforcement Division brought 126 enforcement actions and issued fines against firms totaling $99 ...
Monthly Disciplinary Actions | FINRA.org
FINRA takes disciplinary actions against firms and individuals for violations of FINRA rules; federal securities laws, rules, and regulations.
Monthly Disciplinary Actions - January 2021 | FINRA.org
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, ...
FINRA can take disciplinary action through two separate procedures: a settlement or a litigated proceeding. With a settlement, the respondent can opt to resolve ...
Thursday, February 18, 2021, Regulatory Notice 21-05. SEC Grants FINRA Request for 30-Day Filing Extension for Smaller Broker-Dealers. Effective Date: Immediate.
Regulatory Actions and Corporate Financing Review 2017 – 2023 ; Total Public Offerings (FINRA Rule 5110), 1,104, 1,398 ; Member Private Offerings (FINRA Rule 5122) ...
SEC Regulation Best Interest (Reg BI) | FINRA.org
As part of the rulemaking package, the SEC also adopted new rules and forms to require broker-dealers and investment advisers to provide a brief relationship ...
SEC Could Take Further Actions to Help Achieve Its FINRA ...
Securities Regulation: SEC Could Take Further Actions to Help Achieve Its FINRA Oversight Goals. GAO-22-105367 Published: Dec 15, 2021.
Selected Highlights | FINRA.org
... Reg BI and Form CRS During Reg BI's and Form CRS' first full calendar year of implementation in 2021, FINRA expanded the scope of its reviews and testing ...
FINRA Disciplinary Actions: Massive Surge in 2021 Financial ...
The key components of the monetary sanctions ordered by FINRA (fines, restitution and disgorgement) in 2021 were $144 million representing a 53% ...
Every month, the Financial Industry Regulatory Authority (“FINRA”) publishes its Monthly Disciplinary Actions, formally known as. “Disciplinary and Other FINRA ...
FINRA Settles First Significant CAT Reporting Enforcement Action
2 As of December 2021, all FINRA members, regardless of size, were required to comply with CAT reporting requirements. All proprietary trading ...
FINRA Reports 56% Decrease in 2022 Disciplinary Actions - Quest CE
FINRA reported a significant drop in fees in 2022, decreasing from $103 million in 2021 to $45 million. The 2021 figures, however, included a ...
Reviewing Financial Industry Regulatory Authority Enforcement Act
FINRA disciplinary actions in the first half of 2024 show three areas of significant regulatory focus: (1) electronic communications platforms; (2) outside ...
Source: Financial Industry Regulatory Authority. 1 Capital Acquisition Brokers (CABs) engage in a limited range of activities, essentially advising companies ...
Broker-Dealer Disciplinary Actions: Takeaways From 2024 (So Far)
The U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the Exchanges were active across a ...
FINRA Publishes 2021 Enforcement Priorities and Exam Findings ...
Now, FINRA notes that it intends to “expand the scope” of Reg BI / CRS exams in 2021. As FINRA is still in the early stages of its Reg BI and ...
FINRA Facts and Trends: September 2023 - Bracewell LLP
Specifically, Network 1 and its CCO did not revise the firm's WSPs consistent with Reg BI until March 2021, eight months after Reg BI's ...
Observations from a Review of FINRA's 2021 Sanction Guidelines
... FINRA regulatory settlements illustrate that firms are ... first action and up to $310,000 for third actions and all subsequent actions.