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Summary of selected FINRA Regulatory Notices and Disciplinary Actions

Henry A. Davis (Editor of the Journal of Investment Compliance)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 14 March 2008

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Abstract

Purpose

The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from October to December 2007 and a sample of disciplinary actions during that period. In July 2007, FINRA Regulatory Notices replaced NASD Notices to Members.

Design/methodology/approach

Provides excerpts from FINRA Reg Notice 07‐54, Fairness Opinions; Reg Notice 07‐57, Representation of Parties in Arbitration and Mediation; Reg Notice 07‐59, Supervision of Electronic Communications; Reg Notice 07‐61, Trade Reporting and Compliance Engine (TRACE), and Reg Notice 07‐65, Amendments to NYSE Rule 409(f).

Findings

The paper finds useful information in each of these Notices.

Originality/value

These are direct excerpts designed to provide a useful digest for the reader and an indication of regulatory trends. The FINRA staff is aware of this summary but has neither reviewed nor edited it. For further detail and FINRA contacts for each notice, as well as other notices and useful information, the reader is directed to www.finra.org

Keywords

Citation

Davis, H.A. (2008), "Summary of selected FINRA Regulatory Notices and Disciplinary Actions", Journal of Investment Compliance, Vol. 9 No. 1, pp. 45-56. https://doi.org/10.1108/15285810810859324

Publisher

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Emerald Group Publishing Limited

Copyright © 2008, Emerald Group Publishing Limited