Remarks from the Investment Program Association Fall Conference
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/NYSE Trade Reporting Facility or, if the FINRA/NYSE Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/NYSE TRF Operations Department, last sale reports of
Notice of FINRA District Committee Elections and Ballots
Summary
This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.
Questions concerning this Notice should be directed to:
Amy C. Sochard, Vice President, Advertising Regulation, at (240) 386-4508; or
Ira D. Gluck,
SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
Testimony Concerning Auction Rate Securities Markets, Committee on Financial Services, U.S. House of Representatives
Neutral Corner - February 2007
Introduction: Guidance for Arbitrators on Requests to Produce Suspicious Activity Report Information
By Judith R. Starr *
Introduction by Alma Angotti **
Introduction
On October 26, 2001, President George W. Bush signed into law the USA PATRIOT Act (Patriot Act). Title III of the Patriot Act, entitled "International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001,
