INFORMATIONAL
Decimalization
Survey Deadline: July 28, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the Securities and Exchange Commission (SEC) Order requiring a decimalization "phase-in
Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On October 14, 1998, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) relating to the selection of arbitrators.1 The arbitrator list selection rules and related amendments to the Code of Arbitration
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
Regulatory Element Continuing Education Fees to Increase
SEC proposed rule s7-7-24-15 would create an environment would remove the abilities to protect long term investments through a short term volatile environment. The rule would ultimately create additional volatility in the equities markets by eliminating the open access to inverse funds to the open market. I strongly recommend against adopting this rule.
The Books and Records section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SEC Approves Amendments to Rules Governing Communications With the Public
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
The Technology Management topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
