BROWSE BY TOPIC
Stories of Interest
- I Owned Bitcoin For a Weekend and Here's What I Learned
- SEC Appoints New Chair and Board Members to PCAOB
- FINRA, Georgetown Team Up to Deliver 'Certified Regulatory and Compliance Professional' Program
- FINRA Board Meeting - This Week's Agenda
- Statement on Cryptocurrencies and Initial Coin Offerings - SEC Chair Clayton
- Company Halts Initial Coin Offering Over SEC Registration Concerns
- Kevin O'Leary Explains One Big Thing People Don't Understand About Bitcoin (But Need To)
- CME Bitcoin Futures: A Better Way to Buy (or Short) Bitcoin?
- Address at ICI's 2017 Securities Law Developments Conference - SEC Commissioner Stein
- New York Pension Fund Seeks More Pay Disclosure from Wells Fargo
- Wells Fargo Sanctions Are on Ice Under Trump Official
- Josh Brown: Here's How to Buy Bitcoin, But Realize It Could Be One Giant Bubble
- Trump's New Tax Plan Could Cost Citigroup $20 Billion
- Morgan Stanley Fires Former Congressman Harold Ford Jr.
- Al Franken Will Resign Over Sexual Misconduct Allegations - His Full Resignation Speech
- Ex-NFL Player Gets 40 Years for Running $10Mn Fraud
- Bitcoin Blows Past $15K, Adding $2K in Under 12 Hours
- Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors
- New Cross Market Equity Supervision Report Cards - FINRA Phone-In Workshop, WebEx Presentation
- Mueller Just Crossed Trump's Red Line, With Deutsche Bank Subpoena
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NEWSLETTERS & ALERTS
FINRA Quarterly Disciplinary Review - April 2017
FINRA just published its quarterly review of recent disciplinary actions involving registered reps - which complement the detailed disciplinary information and decisions and a summary of monthly disciplinary actions on FINRA's web site.This quarter, FINRA highlights the following categories:
1. Failing to Adopt and Implement Supervisory Procedures Related to Research Reports and an AML Compliance Program.
2. Using Non-Firm Communication Methods to Communicate With a Customer, and Making Exaggerated and Promissory Claims About Securities
3. Purchasing Securities While in Possession of Material Nonpublic Information
4. Improperly Effecting Discretionary Trades in Accounts, Failing to Mark Trades as Discretionary, and Making False Statements on Compliance Questionnaires
5. Exercising Time and Price Discretion in the Purchase of Municipal Bonds, and Failing to Disclose the Use of That Discretion on Compliance Questionnaires
6. Failing to Timely Disclose an outtside Business Activity and Providing False Information on Compliance Questionnaires
7. Accessing Study Materials and Personal Notes During a General Securities Representative (Series 7) Exam
8. Opening a Securities Account at an Outside Firm, Effecting Securities Transactions in the Outside Account, and Signing New Account Documents at the Outside Firm
[Click link below for specific case studies.]