WebJan 12, 2024 · 314(a) Facts and Figures (04/04/2024) PDF Law Enforcement Information Sharing with the Financial Industry (04/04/2024) PDF Changing Your Point of Contact for 314(a) (01/12/2024) PDF WebJun 1, 2024 · Date Details; SR-FINRA-2024-034: 34-93928: Jan. 7, 2024: ... Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 6732 and Expand the Scope of …
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WebApr 28, 2024 · Morgan Stanley & Co. LLC has agreed to pay a fine of $225,000 fine as a part of a settlement with the Financial Industry Regulatory Authority (FINRA). In April 2024, the firm implemented a new Large Options Positions Reporting system (LOPR), but the system improperly deleted expiring OTC option positions on their expiration dates. WebApr 7, 2024 · Chronological List First Quarter FINRA File Number List for 2024 Additional Archives 2024 2024 2024 2024 2024 2024 2024 2016 2015 2014 2013 … WebApr 29, 2024 · MINNEAPOLIS--(BUSINESS WIRE)--Xcel Energy Inc. (NASDAQ: XEL) today reported 2024 first quarter GAAP and ongoing earnings of $362 million, or $0.67 per share, compared with $295 million, or $0.56 per share in the same period in 2024. Earnings reflect higher electric and natural gas margins, which more than offset additional … ford f-series dealer near redondo beach