Displaying 1641 - 1650 of 9393 Results
SR-FINRA-2012-034
Proposed Rule Change to Amend TRACE Reporting Rules Relating to Transfers of TRACE-Eligible Securities to Create or Redeem Instruments Such as an ETF
Monthly Disciplinary Actions - September 2022
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).
Notice to Members 06-28
GUIDANCE Short Sale Delivery Requirements SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training Short Sales Rule 3210 Executive Summary On April 4, 2006, the Securities and Exchange Commission (SEC) approved new Rule 3210, Short Sale Delivery Requirements, which applies short sale
SR-FINRA-2020-012
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to allow the dissemination through BrokerCheck® of information already publicly disseminated through the SEC’s Investment Adviser Public Disclosure (“IAPD”) database about registered
Notice to Members 98-04
SUGGESTED ROUTING Corporate Finance Legal & Compliance Syndicate Training     Executive Summary     NASD Regulation, Inc. (NASD RegulationSM) requests that members review their compliance procedures with respect to Securities and Exchange (SEC) Rule 15c2-4, which is applicable to public and private
Notice to Members 07-31
GUIDANCE SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training IM-5100 IM-6130 Rule 3360 Rule 4632 Rule 5100 Rule 6130 Rule 9610 Short Exempt Marking Requirements Short Sales TRF Trade Reporting Short Sale Requirements Executive Summary NASD is issuing this Notice to advise firms and other
Regulatory Notice 10-55
FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
Notice to Members 97-88
Effective: Immediately SUGGESTED ROUTING Senior Management Internal Audit Legal & Compliance Operations Trading Executive Summary On October 22, 1997, the Securities and Exchange Commission (SEC or Commission) approved an NASD Regulation, Inc. (NASD RegulationSM) proposed amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 2320 (Three
SR-FINRA-2016-030
Proposed Rule Change Relating to Motions to Dismiss in Arbitration
Information Notice - 7/1/09
New FTC Red Flags Rule Template