FINRA

Supervisory failures resulted in reps making unsuitable recommendations and excessively trading accounts

Dissent stems from concerns about due process and the right to earn a livelihood

I am not convinced, however, that these protections are adequate given the potentially high stakes of any conditions or restrictions for the viability of a ...

The pandemic conditions necessitating the original extension "persist and in fact appear to be worsening"

Continuing ed, security-based swaps, and statutory disqualifications addressed in proposals

Firms will be required to address registered persons being named as beneficiaries or holding positions of trust for customers come Feb. 15

Principal considerations will contemplate a customer's age or mental impairment

One in five survey respondents indicated an increased interest in investing

SRO proposes extending hold period and allowing holds on securities transactions

Concerns expressed about expanding required learning to all registered persons