Two industry governors, two public governors join to FINRA board
“Pump and dump” scammers looking to capitalize on fears of a potential pandemic
Seidt stresses the importance of maintaining the integrity of CRD data
Client settlements can’t force a clean record
Review to consider possible enhancements improve transparency, impartiality, and efficiency
Firm ordered to pay restitution to clients for fund overcharges
Barclays, Goldman Sachs and Merrill Lynch fined for providing incomplete trading data
The goal is to increase market transparency and thereby enhance investor confidence
Rule change will significantly increase FINRA’s ability to deter self-trading that disruptive to the marketplace
Company dumps anti-class action stance after FINRA order