Continuing Education Planning
Continuing Education Planning
Effective Date: December 15, 1993
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On October 29, 1993, the Securities and Exchange Commission (SEC) approved amendments to the Corporate Financing Rule (Rule) under Article III, Section 44 of the Rules of Fair Practice to prohibit underwriters and related persons
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 19, 1991, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,673:
Symbol
Company
Entry Date
SOES Execution Level
HDVS
H.D. Vest, Inc.
11/25/91
1000
HDVSW
H.D. Vest, Inc. (CIA
Continuing Education Planning
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
FIRST is a prototype taxonomy-based rulebook search tool designed by FINRA to make the FINRA rulebook more accessible when searching for relevant information or developing automated compliance functions. FIRST is enabled by a regulatory taxonomy, or a hierarchical classification of key business and regulatory terms, applied, or “tagged,” to a series of key FINRA rules.
Buying and selling securities is actually very easy, thanks in large part to technology. It almost seems like you’re doing the buying and selling yourself, but a brokerage firm is. Any time you buy or sell securities you typically must first open a brokerage account.
