FINRA has the power to take disciplinary actions againstregistered individuals or firmsthat violate its rules. It initiated 610 disciplinary actions in 2023 and levied fines totaling $88.4 million. It ordered restitution of $7.5 million to investors and expelled five member firms and suspended another...
Disciplinary Actions Nasdaq Nasdaq Options Nasdaq PHLX Nasdaq BX Nasdaq ISE Rule Manuals Nasdaq/NOM BX PHLX/PSX SCCP BSECC Market Regulation FAQs MarketWatch Regulatory Contacts Industry Regulators FINRA SEC CFTC Market Statistics Equities Statistics Monthly Market Share Intraday Market Volume Market ...
Firms wishing to use the TRF must be or must apply to be an FINRA member. Firms can be in a pending status when starting the process to connect to Nasdaq. For information pertaining to membership requirements, please visitwww.finra.org. ...
You know, with all the fancy schmanzy radio and television commercials that FINRA has running on the airwaves, you would think that the self-regulator would have a few bucks left offer to pay someone to provide us with just the barest of facts about its monthly disciplinary cases. Yeah, ...