GUIDANCE
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD members of modifications to the NASD
Sanction Guidelines (Guidelines). NASD is amending the quality of
markets guidelines and the guidelines for violations of
SEC Approval and Effective Date for New Consolidated FINRA Rule on Trading Ahead of Research Reports
GUIDANCE
Charitable Contributions
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Charitable Giving
Charitable Solicitation
Executive Summary
The solicitation of substantial charitable contributions by employees
or agents of a customer acting in a fiduciary capacity raises
On This PageOverview of Margin RequirementsExtensions of TimeInterpretations of FINRA's Margin RuleCustomer Margin Balance Reporting and Margin StatisticsPortfolio MarginCovered Agency Transaction MarginMargin Disclosure StatementsExternal ResourcesContact OGCOverview of Margin RequirementsThe terms on which FINRA member firms (brokers) can extend credit for securities transactions are
The Best Execution topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The aim of FINRA's equity and debt research analyst and research report rules is to foster objectivity and transparency in research reports and public appearances and provide investors with more reliable and useful information to make investment decisions.
In general, FINRA's equity and debt research rules require clear, comprehensive and prominent disclosure of conflicts of
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
The Corporate Financing Department assists FINRA-regulated firms in complying with FINRA rules and federal securities laws by reviewing documents related to firms' capital-raising activities and arrangements. These services provide protections to investors and issuers by regulating underwriting terms and arrangements and addressing conflicts of interest when underwriters are
FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
(a) Applicability
No person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.
(b) Written Notice
Prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction
