SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to
The FINRA Board of Governors will consider the following rulemaking items at its July 2013 meeting.
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).
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Registration
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD requests members to vote on proposed amendments to Article III, Sections 2
(a) Members Required to Provide Notice
(1) To facilitate trade reporting and dissemination of transactions in TRACE-Eligible Securities and to provide market participants in the Corporate Debt Security markets with reliable and timely new issue reference data to facilitate the trading and settlement of these instruments, a member that is a managing underwriter of a distribution or offering (
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
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You can use
SUGGESTED ROUTING
Legal & Compliance
Operations
Options
Executive Summary
The Securities and Exchange Commission has approved proposals by each of the five registered national options exchanges and the National Association of Securities Dealers, Inc. (the SROs) that provide member firms with more flexibility in how they store account statements and other information for
You are requested to comment on these proposals. Let's face it, the Hedge Funds are going to be using their voices to prevent these changes from occurring so we need to use our voice too. There are a lot more apes than Hedgies. I've cut and pasted just some of the proposals (man, if you think this is a long and dry read, wait until you read the webpage): - Account-level Position
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
