Recent Announcements for Industry Professionals
November 2009
Regulatory Notice
Speech
FINRA Senior Executive Vice President James Donovan Remarks at the XBRL US National Conference
News Release
FINRA Fines MetLife Securities and Affiliates $1.2 Million for Email Supervision Failures
News Release
FINRA Wins Okay for Major Expansion of BrokerCheck
Regulatory Notice
Non-Traditional Exchange Traded Funds (ETFs)
Podcast
Changes to Regulatory Element Continuing Education Programs (S101/S106)
Regulatory Notice
Regulatory Notice
Discretionary Accounts and Transactions
Webinar
Deferred Variable Annuities: Registration closes Nov 17
Information Notice
Podcast
Regulatory Notice
News Release
FINRA Bars California Broker for Insider Trading
Podcast
October 2009
News Release
AMF and FINRA Sign MoU on Financial Market Surveillance and Supervision
Speech
FINRA Chairman and CEO Rick Ketchum Remarks at the SIFMA Annual Meeting
News Release
Scottrade Fined $600,000 for Inadequate Anti-Money Laundering Program
Podcast
Investment Banking Representative
Election Notice
Notice of SFAB Election and Ballots
Information Notice
Regulatory Notice
Podcast
Quarterly Disciplinary Review – October 2009 Issue
News Release
FINRA Announces Two New Members of Board of Governors
Regulatory Notice
SEC Approves New Consolidated FINRA Rules
Speech
FINRA Chairman and CEO Rick Ketchum Remarks at the ALI-ABA Conference
News Release
FINRA Fines Citigroup $600,000 for Failing to Supervise Tax-Related Stock Transactions
Regulatory Notice
Podcast
Regulatory Notice
Best Execution and Interpositioning
News Release
FINRA Bars Former New York Broker for Defrauding Elderly Investor of More Than $500,000
Testimony
Chairman & CEO Rick Ketchum's Testimony Before the Committee on Financial Services
Speech
Chairman & CEO Rick Ketchum's Remarks at the Fordham University Ethics and Regulatory Conference
Podcast
Information Notice
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Disciplinary Review
The October Quarterly Disciplinary Review is now Available
Statement
News Release
FINRA Proposes Expanding TRACE Reporting to Asset-Backed Securities
September 2009
News Release
TRACE Bond Reporting to Now Cover Government Agency Debt
Information Notice
Publication of Daily and Monthly Short Sale Reports on the FINRA Web Site
Regulatory Notice
Trade Reporting and Compliance Engine (TRACE)
Podcast
Continuing Membership Applications – Part III
Advertising Regulation Conference
Discounted Registration Rates Extended to October 2
News Release
FINRA Fines Citigroup Global Markets, UBS and Deutsche Bank $425,000
Regulatory Notice
Regulatory Notice
Communications With the Public
Podcast
Uniform Forms Electronic Filing Requirements
Election Notice
Notice of Contested Election and Ballots for Small Firm NAC Member Seat
Advertising Regulation Conference
Discounted Registration Rates End September 23
News Release
Podcast
Continuing Membership Applications – Part II
Webinar
Changes to a Firm's Membership Application: Registration closes Sept 16
Webcast
Anti-Money Laundering: Due Diligence for Private Banking Accounts
Regulatory Notice
Election Notice
FINRA Small Firm Advisory Board Election
Statement
Vice Chairman Stephen Luparello Before the SEC/CFTC Joint Meeting on Harmonization of Regulation
News Release
FINRA Announces Agreements with Three Additional Firms to Settle Auction Rate Securities Violations
Podcast
August 2009
Annual Conference
2010 FINRA Annual Conference Registration is Open
News Release
FINRA Bars Brokers in Multi-Million-Dollar Ponzi Schemes
Regulatory Notice
Regulatory Notice
News Release
FINRA Bars Citigroup Sales Assistant for Taking More Than $850,000 From Customers
Podcast
Continuing Membership Applications – Part 1
Regulatory Notice
News Release
FINRA Expels Maximum Financial for Net Capital, AML, Other Violations
Regulatory Notice
SEC Approves New Consolidated FINRA Rules
Testimony
Daniel M. Sibears Before the Committee on Banking, Housing, and Urban Affairs
Podcast
Quarterly Disciplinary Review – July 2009 Issue
Regulatory Notice
Regulatory Notice
News Release
FINRA Bars AGSI Broker for Misappropriating $90,000 Inheritance
News Release
FINRA Fines Credit Suisse $275,000
Podcast
Regulatory Notice
News Release
Ameritas Fined $100,000 for Use of Misleading College Funding Plans to Sell Variable Life Products
Regulatory Notice
News Release
FINRA Hearing Panel Expels Legacy Trading Co., Bars Firm's CEO, Imposes Fine of More Than $1 Million
Regulatory Notice
Podcast
July 2009
Regulatory Notice
Regulatory Notice
Regulatory Notice
Variable Life Settlement Transactions
Podcast
Regulatory Notice
Investment Banking Representative
News Release
FINRA Fines Merrill Lynch, UBS for Supervisory Failures in Sales of Closed-End Funds
Regulatory Notice
SEC Approves New Consolidated FINRA Rules
News Release
FINRA Permanently Bars Broker Operating Ponzi Scheme Involving Customers of Broker-Dealers
Podcast
News Release
News Release
FINRA Fines NEXT Financial Group $1 Million for Supervisory Failures
Regulatory Notice
FINRA Regulation Board Composition
Webcast
Anti-Money Laundering – Institutional: Due Diligence for Foreign Correspondent Accounts
Regulatory Notice
News Release
FINRA Warns Public of Scam Using Fake FINRA Checks
Regulatory Notice
Trading in Motors Liquidation Company (Formerly Known as General Motors Corporation)
Podcast
