Webr/GME • 16 days ago. GameStop has reported DRS shares 6 times. Each report at the end of a quarter: October 30, 2024 January 29, April 20, July 30, October 29 2024 & for the first time! 2 months AFTER the Quarter ended January 28th > March 22nd, 2024 delaying the 10K to get shareHODLers the most up-to-date DRS count🏴. 1 / 6. Web1 day ago · FINRA and the SEC have allowed brokerages that meet certain criteria to conduct remote inspections of their branch offices ever since November 2024 as part of …
SEC.gov SEC Charges 16 Wall Street Firms with Widespread ...
WebMar 9, 2024 · In 2024, the 10 supersized restitution orders totaled around $42 million, according to the report. Combined, Finra ordered $72 million in fines and restitution last year, down from $150 million ordered in 2024, or around 52% less, the law firm wrote. Contact the reporter: [email protected] WebAug 22, 2024 · Finra Sanctions Two More Brokers Over Texting Violations by Miriam Rozen August 22, 2024 The Financial Industry Regulatory Authority this past week issued two related disciplinary actions... short term rentals crestview fl
FINRA vs. the SEC: What
WebApr 7, 2024 · SR-FINRA-2024-031: 34-96699: Jan. 18, 2024: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Adopt FINRA Rules 6151 (Disclosure of Order Routing Information for NMS Securities) and 6470 (Disclosure of Order Routing Information for OTC Equity Securities) SR-FINRA-2024-033: 34-96607: … WebMar 15, 2024 · FINRA continues to target anti-money laundering violations and appears to have focused much of its efforts on protecting retail investors. The Results Fines, Restitution and Disciplinary Actions The fines reported by FINRA in 2024 increased to $57 million from $40 million in 2024, a 43% increase. [1] WebSep 27, 2024 · The failings occurred across all of the 16 firms and involved employees at multiple levels of authority, including supervisors and senior executives. “Today’s actions – both in terms of the firms involved and the size of the penalties ordered – underscore the importance of recordkeeping requirements: they’re sacrosanct. sapra dyes chemicals jalandhar