This data provides aggregate market activity for corporate bonds, agency bonds and 144a bonds (144a bonds are private placement securities subject to SEC Rule144A), using end-of-day data for days the system is open. Data is not available for days the system is closed. Please refer to Systems Calendar. (View the data for multiple days simultaneously here.) Learn more about bonds.
The advances,
GUIDANCE
Private Placements of Tenants-in-Common Interests
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Internal Audit
Legal & Compliance
Registered Representatives
Retail
Senior Management
Broker-Dealer Registration
Due Diligence
Non-Conventional Investments
Private Placements
Real Estate
Rule 2420
Suitability
Executive Summary
This Notice addresses Section 1031 tax-
Agenda*This agenda is subject to change. Monday, May 12 - Pre-Conference2:00 p.m. – 4:30 p.m.Cyber Tabletop Exercise (pre-registration required)5:00 p.m. – 6:30 p.m.New Attendee Reception (pre-registration required)5:00 p.m. – 7:00 p.m.Registration & Information Tuesday, May 137:30 a.m. – 6:00 p.m.Registration & Information8:00 a.m. – 9:30 a.m.Senior
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
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Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
In response to request for comment: Current, licensing requirements for real estate capital transactions (e.g., private debt and equity placements, M&A, and Sales) are too numerous (e.g., SIE, S63, S22, S79, and S82), overlapping, time consuming, and do very little to protect investors (Accredited Investors and Institutions). This is further compounded by additional licensing requirements
Last summer, we introduced listeners to FINRA’s Crypto Hub, an enterprise-wide strategy for keeping up with the evolving crypto asset regulatory landscape. On this episode, we have three members of the hub join us to provide an update on that work to dig into the results of a recent survey of member firms regarding their crypto asset touch points to tell us about the new spot Bitcoin ETP market and more.
Protection of financial and personal customer information is a key responsibility and obligation of FINRA member firms. Under the SEC’s Regulation S-P, firms are required to have policies and procedures addressing the protection of customer information and records. This includes protecting against any anticipated threats or hazards to the security or integrity of customer records and information
