Summary
FINRA will conduct its Annual Meeting of firms on Wednesday, September 1, 2021, at 10:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat, one mid-size firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board or Board).1
It is important that all
Notice of Annual Meeting of FINRA Firms and Proxy
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
<p>Rule 2740 would not prohibit an underwriter in a fixed price offering from paying to another broker/dealer that is unable to participate in the underwriting syndicate an advisory fee or a referral fee to the extent that such payment does not directly or indirectly discount the fixed offering price for any purchaser in the offering.</p>
Effective Date: December 15, 1997
SUGGESTED ROUTING
Corporate Finance
Institutional
Legal & Compliance
Syndicate
Training
Executive Summary
On October 29, 1997, the Securities and Exchange Commission (SEC) approved amendments that clarify the application of Rules 2710 and 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules to
Last Voting Date: September 27,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or
