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The Neutral Corner - Volume 1—2018
Mission Statement
An Introduction to FINRA’s National Arbitration and Mediation Committee (By Steven B. Caruso and Darya Geetter)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
DR Portal News and Q&As
NYC Bar Securities Arbitration & Mediation: Hot Topics 2018 (May 15, 2018)
American Bar
FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
WASHINGTON — Women consistently lag behind men on financial and investor literacy scores across generations of boomers, gen Xers and millennials, according to a multi-year study by the FINRA Investor Education Foundation.
In 2015, the gap in financial literacy between boomer men and women was 19 percent, and for gen Xers 18 percent. But for millennials, it was only 10 percent.
”It is
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Aegis Capital Corp. $550,000 for failing to have adequate supervisory and anti-money laundering (AML) programs tailored to detect "red flags" or suspicious activity connected to its sale of low-priced securities.
FINRA found that Aegis’ supervisory system for trading in delivery versus
This User Support page provides links to help and training resources for users of Web CRD.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Watch the video report featuring highlights of the March 2018 Board of Governors meeting and read FINRA President and CEO Robert Cook’s email to firms.
Pursuant to a Securities and Exchange Commission request, each SRO has agreed to make publicly available the trading data in connection with the Pilot. By making the trading data publicly available, researchers may study the Pilot.
WASHINGTON — FINRA’s Board of Governors held its first meeting of 2018 on March 7-8 in New York, where it approved two new rule proposals and FINRA’s 2018 corporate goals, as well as reviewed the progress of the ongoing FINRA360 organizational improvement initiative introduced nearly one year ago.
The FINRA Board, which meets five times annually, also met with Brett Redfearn, Director of the