Recent Posts
FINRA Expels SW Financial, Suspends Owner and CEO
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision Rules WASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement…
FINRA and NFA Discuss Crypto Assets at Special Summit
FINRA, NFA Expand MOU to Include Information Sharing, Collaboration WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understanding (MOU) to address crypto activities that fall within their respective…
FINRA Publishes 2023 Industry Snapshot
Options Trading Activity, Demographic Changes for FINRA-Registered Representatives Among New Data Available in this Year’s Snapshot WASHINGTON – FINRA today published the 2023 Industry Snapshot, the annual statistical report on registered representatives, brokerage firms, and market activity that FINRA oversees. This…
FINRA Fines Webull $3 Million for Options Customer Approval Violations
Firm Also Failed to Maintain Supervisory System, Report Customer Complaints WASHINGTON—FINRA announced today that it has fined Webull Financial LLC $3 million for not exercising reasonable due diligence before it approved customers for options trading; not maintaining a supervisory system…
Report From FINRA Board of Governors Meeting – March 2023
Board Approves Rule Proposal to Shorten the Securities Settlement Cycle to T+1 Consistent with Recent SEC Rule Changes, and Allocation of 2022 Fine Monies WASHINGTON—FINRA’s Board of Governors met on March 9-10 for the first time in 2023. The board…
FINRA Publishes 2023 Report on Exam and Risk Monitoring Program
Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs….
FINRA Announces Departure of Enforcement Head Jessica Hopper
WASHINGTON—FINRA announced today that Jessica Hopper plans to leave FINRA on February 3, after an 18-year tenure culminating in her leadership of the Department of Enforcement.
Report From FINRA Board of Governors Meeting – December 2022
Board Approves Rule Proposals and FINRA’s 2023 Budget, Previews 2023 Report on FINRA’s Examination and Risk Monitoring Program WASHINGTON—FINRA’s Board of Governors held its fifth and final meeting of the year on Dec. 14-15. During the meeting, the Board approved…
Frederick Player Gets in Gear With $50K Corvette® Cash Score
Third of eight top prizes claimed on popular scratch-off A Maryland Lottery player from Frederick has practical plans for the proceeds of a $50,000 win on the $5 scratch-off game Corvette Cash: paying off a second mortgage. Visibly jovial about his…
Baltimore County Woman’s Love of Corvettes® Leads to $50,000 Win
Claims top prize on Corvette Cash scratch-off A 62-year-old car enthusiast, who chose the name “Baby Blue” to tell her story, was heading to work when it happened. The “it” to which she referred was the $50,000 prize she discovered…
NASA Sets Coverage for Axiom Mission 2 Departure from Space Station
NASA will provide live coverage of the undocking and departure of Axiom Mission 2 (Ax-2) private astronaut mission from the International Space Station before crew returns to Earth.
Dundalk Woman Turns Hobby of Crosswords into $30,000 Prize
Baltimore County resident wins top prize on Bonus Crossword A Dundalk woman has a fun hobby of playing Bonus Crossword scratch-offs a few times a week. She has occasionally won small prizes of a few hundred dollars over the years but was in shock when…
NASA Pursues Lunar Terrain Vehicle Services for Artemis Missions
NASA is seeking industry proposals for a next-generation LTV (Lunar Terrain Vehicle) that will allow astronauts to go farther and conduct more science than ever before as they explore the south polar region of the Moon during Artemis missions.
2023 Spring Turkey Harvest Results
The Department of Wildlife Resources (DWR) announced a harvest of 24,447 turkeys during the 2023 spring turkey season. This represents the highest spring turkey harvest ever recorded in Virginia. The previous record was 20,580, set during the 2015 spring hunting…
NASA to Provide Briefing, Coverage of Spacewalks for Station Upgrades
Two NASA astronauts aboard the International Space Station will conduct a pair of spacewalks Friday, June 9, and Thursday, June 15, to install two new solar arrays.
EMA business hours over Whit Monday, 29 May, , 26/05/2023
The European Medicines Agency’s (EMA) office is closed on Monday 29 May 2023.Outside of working hours and on public holidays, it is possible to call the…
New Mexico Students to Hear from NASA Astronauts Aboard Space Station
Students from southern New Mexico schools will have an opportunity to hear from NASA astronauts aboard the International Space Station.
NASA, Rocket Lab Complete Launch of TROPICS CubeSat Constellation
The final pair of NASA’s TROPICS (Time-Resolved Observations of Precipitation structure and storm Intensity with a Constellation of Smallsats) are in orbit after successfully launching at 11:46 p.m. EDT, May 25, (3:46 p.m. NZST Friday, May 26th), completing the constellation.
Meeting highlights from the Committee for Medicinal Products for Human Use (CHMP) 22-25 May 2023, CHMP, 26/05/2023
Two new medicines recommended for approvalEMA’s human medicines committee (CHMP) recommended two medicines for approval at its May 2023 meeting.The…
