WebJul 27, 2024 · ATLANTA , July 27, 2024 /PRNewswire/ -- RPC, Inc. (NYSE: RES) announced today that its Board of Directors reinstated and declared a regular quarterly cash dividend of $0.02 per share payable September 9, 2024 to common stockholders of record at the close of business on August 10, 2024. "We are pleased that RPC is issuing its first … WebFINRA rules provide two avenues to enforce compliance with its requests for information . First, FINRA can file a disciplinary complaint alleging a violation of Rule 8210. 6 In that c …
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to …
WebA status indicating the previous registration status was Deficient, Pending or Purged. This status set when an individual’s firm fails to renew with a jurisdiction, and the registration has not yet been approved. This status is set when a Mass Transfer occurred and the registration status was pending or deficient. WebJun 4, 2024 · Mutual fund customers often have a “right of reinstatement,” which means they can purchase shares of a fund after selling shares of that fund or another in the … tom jagodzinski
FINRA review of ROR on Mutual Funds - The National Law Review
WebNov 13, 2024 · The Financial Industry Regulatory Authority (FINRA) announced that it is conducting a review of firms’ systems and procedures for providing waivers and rebates … WebFINRA also requires anyone working at a brokerage and handling securities (which, if you're a broker representative, is pretty much inevitable) to pass the less-rigorous Series 66 exam as well. The Series 66 exam has a similar requirement. A complication of the Series 7 and 66 licenses is that you can only maintain them in good standing for two ... WebDec 23, 2024 · Between January 2015 and December 2024, Morgan Stanley’s supervisory system “did not provide certain customers with mutual fund sales charge waivers and … tom jago