Tag: Financial Industry Regulatory Authority

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Securities Regulations, Statutes, Laws and Rules

Federal Law | Commentary | State Law | Securities Regulations The securities laws in the United States are a complex web of multiple and overlapping statutes and rules from over 52 different regulatory agencies. Mark Astarita‘s overview, Federal Securities Laws, a Securities Lawyer Guide, provides introductory information regarding federal securities laws. Here we have […]

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FINRA Fines Morgan Stanley $2 Million for Short Interest Reporting and Short Sale Rule Violations | FINRA.org

The seclaw.com/glossary/financial-industry-regulatory-authority/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>Financial Industry Regulatory Authority (FINRA) announced today that it has fined Morgan Stanley & Co. LLC $2 million for short interest reporting and short sale rule violations that spanned a period of more than six years, and for failing to implement a supervisory system reasonably designed to detect and […]