FINRA issued Regulatory Notice 19-28 to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision)...
CN Editor
August 19, 2019
NEW FINRA FOUNDATION RESEARCH EXAMINES SHIFTING INVESTOR BEHAVIORS, PREFERENCES AND ATTITUDES
FINRA ORDERS SECURITIES AMERICA TO PAY $2 MILLION IN RESTITUTION TO CUSTOMERS, FINES FIRM $1 MILLION FOR MUTUAL FUND SUPERVISION FAILURES
FINRA CARD ENHANCEMENTS - A FINRA FORWARD UPDATE
FAIR TREATMENT OF CLIENTS - AMF ENDORSES NATIONAL SEGREGATED FUNDS GUIDANCE AND WILL INCORPORATE IT INTO ITS FRAMEWORKS
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CIRO SANCTIONS EDWARD JONES (CANADA) FOR SUPERVISORY AND INTERNAL CONTROL FAILURES
APPLICATION OF UMIR TO THE TRADING ACTIVITY OF AN ACCESS PERSON
CIRO ALLEGES MISAPPROPRIATION AND FAILURE TO COOPERATE BY FORMER TD INVESTMENT SERVICES REP FROM TORONTO, ON
GUIDANCE ON DOUBLE PRINTING