(a) Requirements for Participation in Certain Public Offerings
No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2).
(1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
FINRA Requests Comment on TRACE Dissemination Issues
In 2022, FINRA developed an enterprise-wide strategy to ensure it is prepared for an evolving crypto asset regulatory landscape and created the Crypto Hub, the Blockchain Lab and the Crypto Asset Investigations Team. On this episode, the first in a three-part series, we learn more about the strategy and the role of the Hub.
The vast majority of interactions between investors and investment professionals are positive. However, sometimes the relationship doesn’t go as planned and you may find yourself considering arbitration or mediation. There are many factors to consider as you proceed down these paths, such as should you hire an attorney.
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
Guidance on Reporting Short Interest Positions Held in Master/Sub-Accounts or Parent/Child Accounts
GUIDANCEUnit Investment Trust SalesSUGGESTED ROUTINGKEY TOPICSLegal and ComplianceOperationsSenior ManagementBreakpointsUnit Investment Trust SalesExecutive SummaryUnit Investment Trusts (UITs) that charge initial sales charges sometimes offer discounts in the sales charge based on the dollar amount or number of units of the investment. The thresholds at which the discounts are offered in the
INFORMATIONAL
Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT
Implementation Date: March 24, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registered Representatives Registration Senior Management Training
Web EFT
Executive Summary
NASD announces the implementation of Web EFT, a new, secure Web-
An exemption is granted based on the following: (1) Name was not an MFP at the time the Contribution was made and was not involved in the solicitation of new municipal securities business; (2) the Firm took action once it became aware of the Contribution by voluntarily refraining from new State or its issuing authorities municipal securities business pending the outcome of the exemption request; (3) the Firm notified Name of his designation as an MFP and the accompanying restrictions; (4) the Firm has agreed to restrict Name's municipal securities activities, minimizing the potential for quid pro quo resulting from the Contribution; and (5) although a less weighty factor, the Contribution has been returned.
