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              FINRA Unscripted Feeds

              FINRA News Releases

              FINRA Notices

              • Regulatory Notice 21-01
                by Regulatory Notice 21-01 on January 4, 2021 at 12:00 am

                Summary FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in CRD/IARD for the annual registration renewal process. The payment […]

              • Regulatory Notice 20-43
                by Regulatory Notice 20-43 on December 23, 2020 at 12:00 am

                Summary In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury […]

              FINRA Rule Filings

              • SR-FINRA-2020-018
                by SR-FINRA-2020-018 on January 21, 2021 at 8:14 am

                Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the FINRA Rule 6800 Series, FINRA’s compliance rule (“Compliance […]

              • SR-FINRA-2020-020
                by SR-FINRA-2020-020 on January 21, 2021 at 8:14 am

                Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 3241 (Registered Person Being Named a Customer’s […]

              SEC Press Releases

              SEC.gov Updates: Litigation Releases

              • Abhi Batra a/k/a Abhimanyu Batra
                on January 19, 2021 at 7:18 pm

                SEC Charges California Resident with Fraudulent Free Riding Scheme

              • Jacob C. Glick
                on January 19, 2021 at 2:00 pm

                SEC Charges Former Investment Adviser for Making Unsuitable Investments, Misleading Clients, and Misappropriating Client Funds