FINRA has identified potential violations of FINRA Rule 2210 (Communications with the Public) in 70 percent of crypto asset communications it reviewed, according to a report published today on the results of a targeted exam.
Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
48
Backing Away
49
Best Execution—Failure to Comply With Requirements for Best Execution
50
Branch Offices—Failure to Register
39
Cheating, Using an Impostor,
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JULY 12, 1985
Enclosed is a proposed new rule under Article III of the NASD Rules of Fair Practice. Proposed Section 39 was approved by the NASD'S Board of Governors and now requires the membership's approval. If approved, it must then be filed with and approved by the Securities and
SEC Approves Consolidated Front Running Rule
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7010(k) relating to Transaction Reporting and Compliance Engine ("TRACE") transaction data to (i) amend Rule 7010(k)(3)(A)(i) to offer an optional enterprise-based flat fee for the internal display of real-time TRACE transaction data ("
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rules 1012, 1015, 6490, 9132, 9133, 9135, 9146, 9321, 9341, 9349, 9351, 9522, 9524, 9525, 9559 and 9630 to permit, and in some instances require, electronic service and filing of documents in disciplinary and other proceedings
Proposed Rule Change to Impose an Excess Capacity Usage Fee on ADF Trading Centers that Exceed Their Certified Volume Levels Pursuant to a New FINRA ADF Capacity Management Plan
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend, to January 26, 2022, the implementation date of the amendments to FINRA Rule 4210 (Margin Requirements) pursuant to SR-FINRA-2015-036, other than the amendments pursuant to SR-FINRA-2015-036 that were implemented on December 15,
Please just do your job. All we want is a fair market. These hedge funds break the rules and nothing is done. We need transparency. We need our governing bodies to actually enforce the rules. We need to be protected or everyone near and far is going to pull their money out of the US market.
Summary
FINRA seeks comment on proposed amendments to the NASD Rule 1010 Series (Membership Proceedings) (collectively, the Membership Application Program (MAP) rules). The proposal is the result of FINRA's retrospective review of the MAP rules and processes, and is intended to reduce unnecessary burdens on new and existing firms, while strengthening investor protections. The proposed
