GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTransaction ReportingTRACEExecutive SummaryOn June 14, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to Rule 6230(a) of the Trade Reporting and
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOptions*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Rules of Fair Practice creating a separate section relating to options communications with the public. The
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsOptionsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments creating a separate section in the NASD's Rules of Fair Practice relating to options communications with the public. The
Summary
FINRA’s CAB rules provide a simplified rulebook for broker-dealers that engage only in limited capital advisory, corporate restructuring and private placement activities. FINRA is requesting comment on proposed amendments to the CAB rules to make them more useful to CABs without reducing investor protection.
The proposed rule text is available in Attachment A.
Questions
Testimony Before the Committee on Banking, Housing, and Urban Affairs
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective April 1, 1997, tier sizes for 692 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Notice of FINRA District Committee Election and Ballots
Annual FINRA Election Cycle and Procedures Overview
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
