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December 9, 2009 karen

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FINRA Notices

Information Notice 11/21/24
SummaryThe national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 29, 2024 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options.
Election Notice - 11/7/2024
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as […]
Information Notice 11/5/24
SummaryTo assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2025 or the first quarter of 2026. FINRA reminds members that all such filings they submit […]
Regulatory Notice 24-14
SummaryFINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and publishes a Final […]

SEC Press Releases

SEC Announces Enforcement Results for Fiscal Year 2024
The SEC obtained orders for $8.2 billion in financial remedies, the highest amount in a fiscal year in agency history.
SEC Charges Three Broker-Dealers with Filing Deficient Suspicious Activity Reports
The Securities and Exchange Commission today announced that broker-dealers Webull Financial LLC, Lightspeed Financial Services Group LLC, and Paulson Investment Company, LLC have agreed to settle charges that they filed with law enforcement suspicious…
UPS to Pay $45 Million Penalty for Improperly Valuing Business Unit
The Securities and Exchange Commission today announced settled charges against United Parcel Service Inc. for materially misrepresenting its earnings because it failed to follow generally accepted accounting principles (GAAP) in valuing one of its worst…

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IA’s: 2022 Annual Rule 206(4)-7 Reviews February 7, 2022

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