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Journal of Investment Compliance
ISSN: 1528-5812
Online from: 2000
Subject Area: Accounting and Finance
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Summary of selected FINRA Regulatory Notices and disciplinary actions, April-June 2008
| Title: | Summary of selected FINRA Regulatory Notices and disciplinary actions, April-June 2008 |
|---|---|
| Author(s): | Henry A. Davis, (Editor of the Journal of Investment Compliance, based at Henry A. Davis and Co., Washington, DC, USA) |
| Citation: | Henry A. Davis, (2008) "Summary of selected FINRA Regulatory Notices and disciplinary actions, April-June 2008", Journal of Investment Compliance, Vol. 9 Iss: 3, pp.52 - 74 |
| Keywords: | Financial markets, Regulation, Securities markets, United States of America |
| Article type: | Technical paper |
| DOI: | 10.1108/15285810810908752 (Permanent URL) |
| Publisher: | Emerald Group Publishing Limited |
| Abstract: | Purpose – The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from April to June 2008 and a sample of disciplinary actions during that period. Design/methodology/approach – The paper provides excerpts from FINRA Regulatory Notice 08-16, Third Party Research Reports; 08-17, Customer Complaint Reporting; 08-18, Unauthorized Proprietary Trading; 08-21, Partial Redemption of Auction Rate Securities; 08-22, Definition of Public Arbitrator; 08-27, Midleading Communications about Expertise; 08-30, Illiquid Investments; 08-31, Trading Ahead of Customer Orders; and 08-33, Minor Rule Violation Plan Amendment. Findings – Useful information may be found in each of these notices. Originality/value – The paper provides 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. |
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