SEA 1934 Rule 15c3-3
-
FINRA disciplinary action update 2024/41
Disciplinary decisions issued October 19 – 25, 2024.
-
FINRA disciplinary action update 2024/20
Disciplinary decisions issued May 18 – 24, 2024.
-
SEC issues risk alert on T+1 transaction settlement cycle
Move aims to help broker-dealers preparing for a shortened standard settlement cycle.
-
FINRA disciplinary action update 2024/6
Disciplinary decisions issued February 10 – 16, 2024.
-
FINRA member Nomura fined for books and records failings
The investment banking and brokerage services firm overstated its daily net capital by misclassifying 5,657 reverse repos.