Delegation of Functions and Authority:
A. Subject to Section I.B.9., FINRA hereby delegates to FINRA CAT and FINRA CAT assumes the following responsibilities and functions as a registered securities association:
1. To act as a Plan Processor in accordance with Rule 613 of SEC Regulation NMS and the provisions of the CAT NMS Plan.
2. To create, operate and maintain the consolidated audit trail
Background
Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education and consistent with the FINRA360 goal of being a more effective regulator, FINRA launched The Small Firm Report in April 2018. The Small Firm Report is a free conference call
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Suggested Routing
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology Trading and Market Making Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
Currently, NASD
INFORMATIONAL
NASD Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Recording NASD Field Examinations
Executive Summary
In response to a request by a member firm, NASD Regulation, Inc. (NASD RegulationSM) recently clarified its long-standing practice of not permitting members to record by video or audio tape conversations between
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceResearchSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The National Association of Securities Dealers, Inc., the New York Stock Exchange, Inc., and a committee of the Securities Industry Association have developed a joint memorandum that
FINRA is issuing this OATS Report to clarify a firm’s OATS reporting obligations when receiving an instruction to reduce the shares quantity of an order. FINRA understands that a customer’s wish to reduce the shares quantity of an order may be communicated to firms in one of two ways as explained in further detail below. Firms should report to OATS in accordance with the customer’s instruction.
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
BACKGROUND
On November 18, 1983, the Securities and Exchange Commission issued Release No. 34-20397 announcing the adoption of Rule 15c2-2 (the "Rule") under the Securities Exchange Act of 1934 (the "Act") (17 CFR Part 240). Rule 15c2-2 prohibits broker-dealers from using mandatory arbitration clauses in
By using BrokerCheck or the BrokerCheck data, users agree to comply with BrokerCheck’s Terms of Use.
The BrokerCheck Terms of Use permit use of BrokerCheck data for investor protection, academic, compliance or regulatory purposes. The Terms of Use do not permit use of BrokerCheck for other purposes (with limited exceptions), and it may not be used in violation of the law.
You can use
When it comes to calling the shots at a public company, CEOs run businesses on a day-to-day basis, but the board of directors shares in oversight of the company business. A public company’s board of directors is chosen by shareholders, and its primary job is to look out for shareholders’ interests.
Short selling is legal, fair, and a proper tool to use in the markets to bring down the price of an over-valued security. Why does it feel like institutions have so much power over retail? Why does it feel like I am going up against massive opponents that refuse to lose? Why do they get away with criminal activity to avoid billions in losses to only pay regulators millions in fines? It's
