SEC Approves Amendments Permitting FINRA to Halt Trading by Firms Otherwise Than on an Exchange Where a Primary Listing Market Has Issued a Trading Pause Due to Extraordinary Market Volatility
FINRA Adopts Amendments Relating to Reporting Transfers of Proprietary Positions in Debt and Equity Securities in Connection With Certain Corporate Control Transactions
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
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(1) A member or a person associated with a member may not sell, or cause to be sold, a new issue to any account in which a restricted person has a beneficial interest, except as otherwise permitted herein.
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Thank you, Elisse, and thank you all for being here tonight. I am honored by your presence. Over the years, I've learned that the most precious commodity these days is time, so I am very grateful that you have taken the time to be here this evening.
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The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
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Executive Summary
On May 19, 1995, the Securities and Exchange Commission (SEC) approved an expansion of the Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits a member firm from trading ahead of customers' limit orders in a firm's
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On July 5, 2006, The NASDAQ Stock Market, Inc. ("NASDAQ")
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In December 2005, the New York Stock Exchange (NYSE) and NASD
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