SummaryIn this Notice, FINRA reminds members of their obligations when selling private placements (i.e., unregistered offerings sold pursuant to the Regulation D safe harbors under Sections 3 and 4 of the Securities Act of 1933 (Securities Act)). In Regulatory Notice 10-22 (Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings), FINRA reminded members of
GUIDANCE
Corporate Debt Securities
Effective Date: June 17, 2004
SUGGESTED ROUTING
KEY TOPICS
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
SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Dark Pools need to be gone, if the market is fear and fair. Where is the transparency? Short Sale Restrictions must be enforced, currently it’s a joke. Failure To Deliver must be fully enforced. If I sell something I don’t deliver the items but I keep the money, that’s stealing! Currently your rules are joke. No retail investor benefits from your rules if they are no fully enforced. If I drink
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).
GUIDANCE
Mediators as Arbitrators
Effective Date: May 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Arbitration
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved a new Interpretive Material (IM) to Rule 10308 of the NASD Code of Arbitration Procedure (Code)
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
<p>Priced quotations by an ECN or ATS displayed on the OTC Bulletin Board are considered priced quotations for purposes of compliance with Rule 2320(g)(1).</p>
GUIDANCE
Do-Not-Call Registry
Effective Date; March 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Training
Cold Call
Do-Not-Call
Do-Not-Call Registry
Rule 2212
Telemarketing
Telephone Solicitation
Executive Summary
On January 11, 2005, the Securities and Exchange Commission (SEC)
approved amendments to
NASD Will No Longer Impose Censures For Some Violations
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
