As prepared for deliveryToday’s conversation on disrupting the cycle of financial fraud is important and timely—and we are grateful to have been able to convene such a distinguished group of regulators, policymakers, academics, law enforcement agencies, advocacy groups and financial firms here today. You all play a vital role in protecting investors, advocating for victims and working to stop
Bonds can be issued by corporations, local municipalities, government agencies and the federal government. Performing due diligence can help you assess the many characteristics that are associated with these fixed-income securities and evaluate overall suitability with your investing needs.
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Publication Date: March 24, 2025Interpretations are marked in blue background beneath the rule text to which they relate.17a-4 Records to be preserved by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceOperationsSystemsTrading
Executive Summary
On December 23, 1993, the Securities and Exchange Commission (SEC) issued an order approving amendments to the Rules of Practice and Procedure for the Small Order Execution System (SOESSM). The new rules prohibit short sales in SOES; reduce the largest eligible SOES order
Summary
FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window.
All questions regarding
GUIDANCE
Trading Volume and Interest
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KEY TOPICS
Advertising
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Communications with the Public
Manipulative and Deceptive
Quotations
Publication of Transactions and
Quotations
Rule 2120
Rule 2210
Rule 3310
Trading Interest
Trading Volume
Use of
SUGGESTED ROUTING
MunicipalOperationsSystemsTrading
As of March 28, 1994, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 3,571:
Symbol
Company
Entry Date
SOESSM Execution Level
CHGNF
AES China Generating Co. Ltd. (Cl A)
2/24/94
500
EFCX
Electric Fuel Corporation
2/24/94
500
GVIL
Global Village Communications, Inc.
2/24/
Generational wealth must not require a literacy test. Investors must not require a literacy test. Both concepts protect the firms making the investments and negate responsibility for incorrectly explaining financial consequences that may occur.
Regulatory Obligations and Related Considerations
Regulatory Obligations
Effective liquidity controls are critical elements in a broker-dealer’s risk management framework. Exchange Act Rule 17a-3(a)(23) requires firms that meet the thresholds specified under the rule to make and keep current records documenting the credit, market, and liquidity risk management controls established and
SummaryFINRA recognizes that member firms and their personnel have been experiencing significant disruptions to their business operations due to the devastating impact of the California wildfires, which started on January 7, 2025. The wildfires have also had a major impact on customers. For instance, customers may be unable to communicate with their financial professional or receive mail during
