Latest News for: finra

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Disciplinary Action 2023078794802 (Carter, Terry & Company, Inc.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 25 Dec 2025
Financial Industry Regulatory Authority (FINRA) ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC ... Accepted by FINRA..
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Green Leaf Innovations, Inc. Announces FINRA Approval of Reverse Stock Split and Strategic Reduction of ...

Weatherford Democrat 24 Dec 2025
Historic Corporate Action Positions Company for Institutional Capital Access and Long-Term Shareholder Value ....
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TRACE Transitioning to FINRA Native FIX (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 23 Dec 2025
In early 2026, FINRA will publish a Technical Notice that will include a link to the new FINRA Native FIX Port Request Form for firms to commence ordering new TRACE Native FIX ports ... Please contact FINRA Client and System Management with questions.
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Report From FINRA Board of Governors Meeting – December 2025

Business Wire 23 Dec 2025
WASHINGTON--(BUSINESS WIRE)--FINRA’s Board of Governors held its final meeting of the year Dec.
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Disciplinary Action 2022076789701 (Digital Brokerage Services LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 23 Dec 2025
FINRA Rule 2210 addresses FINRA member communications with the public and includes content standards that apply to all member communications, including retail communications.
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Disciplinary Action 2023077031601 (Osaic Institutions, Inc. fka Infinex Investments, Inc.) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 23 Dec 2025
Financial Industry Regulatory Authority (FINRA) ... to EnforcementNotice@finra.org ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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Disciplinary Action 2023079527501 (William N. Girasole) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 23 Dec 2025
Financial Industry Regulatory Authority (FINRA) ... This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC ... FINRA.
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Disciplinary Action 2022074359701 (The Benchmark Company, LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 23 Dec 2025
Financial Industry Regulatory Authority (FINRA) ... This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.
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Disciplinary Action 2017056726201 (Credit Suisse Securities (USA) LLC) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 23 Dec 2025
FINRA Rule 3110(a), like its ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.
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AstraBit Becomes a U.S. Broker-Dealer, One of the First Digital-Asset Firms to Be Granted FINRA Membership

The Joplin Globe 17 Dec 2025
NEW YORK--(BUSINESS WIRE)--Dec 17, 2025-- ... .
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FINRA Announces SFAC, Regional Committee and NAC Election Results and Appointments (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 16 Dec 2025
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees,1 and, at its December meeting, the FINRA Board of Governors (FINRA ...
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FINAL Reminder - FINRA TRAQS Multi-Factor Authentication (MFA) Production Access (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 15 Dec 2025
On December 31, 2025, FINRA will discontinue the use of SMS and voice authentication as multi-factor authentication (MFA) methods for access to TRAQS and API Reference Data files ... FINRA - Financial Industry Regulatory Authority Inc.
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Earth Science Tech, Inc. Receives FINRA Clearance on Form 211 to Initiate Quotations

Nasdaq Globe Newswire 15 Dec 2025
(FINRA) has cleared the Form 211 application filed by a sponsoring ...
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Disciplinary Action 2023079997001 (Sam Calvin Nevels) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 12 Dec 2025
) ... You can access the original document here ... FINRA - Financial Industry Regulatory Authority Inc.
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Disciplinary Action 2024083413502 (Brian Boyer Davis) (FINRA - Financial Industry Regulatory Authority Inc)

Public Technologies 12 Dec 2025
Financial Industry Regulatory Authority (FINRA) ... See FINRA Rules 8310 and 8311 ... Respondent may not take any position in any proceeding brought by or on behalf of FINRA, or to which FINRA is a party, that is inconsistent with any part of this AWC.

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