Displaying 2071 - 2080 of 9464 Results
SR-FINRA-2008-007
SR-FINRA-2008-007 - Proposed Rule Change Relating to Permanent Approval of the Pilot Program that Increases Options Position and Exercise Limits
Regulatory Notice 08-62
SEC Approves Rules Limiting Submissions to Arbitrators in Closed Cases; Effective Date: November 24, 2008
SR-FINRA-2007-041
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7001B (Securities Transaction Credit) to modify the percentage of New York Stock Exchange ("Tape A"),
Notice to Members 97-67
SUGGESTED ROUTING   Senior Management Continuing Education Institutional Operations Registered Representatives Systems Trading Training     To ensure that members fully comply with Securities and Exchange Commission (SEC) Rule 11Ac1-1 (Rule 11Ac1-1 or the firm quote rule), NASD Regulation, Inc.,
Monthly Disciplinary Actions - August 2021
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Regulatory Notice 18-39
Day of Closure Regulatory Notice Notice Type Guidance Referenced Rules & Notices Federal Reserve Board Regulation T FINRA Rule 4210 FINRA Rule 4230 FINRA Rule 4521 FINRA Rule 4524 SEA Rule 15c3-1 SEA Rule 15c3-3 SEA Rule 17a-5 Regulation SHO Suggested Routing Compliance Legal Margin Department Operations
SR-FINRA-2007-004
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rules 1021 and 1031 to permit members to maintain the registrations of those persons whose association with such members is for bona fide business purposes, provided that such
SR-FINRA-2020-002
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 11900 (Clearance of Corporate Debt Securities) to except certain transactions in corporate debt securities.  
Regulatory Notice 08-11
Electronic Filing Regulatory Notice Referenced Rules & Notices NASD Rule 3170 NTM 06-61 Key Topics Electronic Filing Requirements Suggested Routing Compliance Legal Operations Senior Management   Executive
Qualification Exam Frequently Asked Questions (FAQ)
Following are FAQs about FINRA registration and qualification requirements. Click on the links below to view all sections of the FAQs.