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Executive Summary
On March 18, 1993, the Securities and Exchange Commission (SEC) approved NASD rules regarding quotation- and transaction-reporting requirements for members trading high-yield, fixed-income securities. The following Notice answers some commonly
SEC Approves New Supervision Rules
Technology is at a point where reporting times such as the current T+2 settlement is unnecessary and is being unfairly used as a tool for hedge funds and other entities to have leverage over retail investors. This can and should be transitioned to a T+0 settlement period. This modern world can transmit and receive data almost instantaneously and we should use this to help give the average
FINRA’s Examinations team has undertaken changes to create efficiencies before, during and after the exam process to continuously improve the program. On this episode, three senior leaders of the team join us to detail some of the recent changes, including the introduction of thematic reviews, changes to the post-exam closeout process and more.
This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
Background
An important part of FINRA's work involves providing investors the information and tools they require to make informed decisions about their assets and avoid dealings with bad actors. Several respondents to the Special Notice on Engagement issued in March 2017 provided a range of recommendations related to FINRA's efforts in the area of investor education—including the types
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
This Interpretive Material sets forth a membership waive-in process for certain NYSE Alternext US LLC ("NYSE Alternext") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership
We encourage you to follow FINRA via social media, RSS feeds and email subscriptions.Social MediaX/Twitter@FINRA has the latest press releases, speeches and announcements.@FINRAFoundation highlights new grants, studies, and other research geared toward improving financial literacy.@FINRA_Tech is pushing the limits of technology to protect investors and ensure financial markets are fair for all.
The Neutral Corner Topical Index; Volume 4 - 2008; Writing a Disciplinary Referral; Dispute Resolution news; SEC Rule Filing; SEC Rule Approval; Arbitration Awards: The Offset Option; Question and Answer; Arbitrator Tip
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
