Reporting of Criminal Offenses
Effective Date: July 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Rule 3070
Reporting Requirements
Executive Summary
On May 15, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 3070, concerning the reporting of criminal
Many unregistered entities are increasingly promoting their auto-trading services to retail investors on social media, making misleading claims about their ease of use and level of risk. Investors should know the risks before using these services.
Proposed Rule Change to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for an additional two-year period, to June 23, 2007, NASD's authority under the cease and desist pilot program. At this time, NASD is not proposing any substantive changes to the rules covered by the pilot program; the only changes regard extending
NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws to reduce fees for the Regulatory Element of the continuing education requirements of Rule 1120.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 to extend a pilot program increasing certain options position and exercise limits.
Regulation NMS Plan to Address Extraordinary Market Volatility Plan Frequently Asked Questions
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 certain NYSE Rules to reduce regulatory duplication and relieve firms that are members of both FINRA and the NYSE ("Dual Members") of conflicting or unnecessary regulatory burdens in the interim period before a consolidated FINRA rulebook is completed.
We need more accountability for short positions in the market. There is far too much collusion and conflicts of interest that are not good for our markets/economy as a whole. I hope FINRA is able to provide more accountability by passing more rules for institutions, hedge funds and big players as a whole. All information regarding our markets should be public knowledge. Short positions, volumes,
The Trusted Contact Persons 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.
