The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
This filing was withdrawn and replaced by SR-NASD-2006-007.NASD has filed with the SEC a proposed rule change to amend Rule 2860 to: (a) revise the definition of the term "underlying index" to include all indexes underlying standardized index options and other indexes that meet certain specified criteria; and (b) allow members to calculate the position limits, in accordance with volume
SUGGESTED ROUTING*
Government SecuritiesLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has adopted amendments to Rule 17M, also known as the Lost and Stolen Securities Program. Among other things, the amendments: 1) expand the definition of
THE ABOVE PROPOSED FINRA RULE #22-08. THIS IS NOT A GOOD RULE, PAUSE FOR AFTER GESARA/NESARA IS IN FULL AFFECT, I SHOULD NOT HAVE TO DO ANYTHING SPECIAL TO PURCHASE ANY CRYPTO-CURRENCIES. THANK YOU AND WE NEED CRYPTO TOO.
NASD has filed with the SEC a proposed rule change to extend the pilot program for the Trading Activity Fee (“TAF”) for 60 days effective December 31, 2002 and expiring March 1, 2003. The TAF structure as originally proposed in SR-NASD-2002-98 (and sunset in SR-NASD-2002-147) expired on December 31, 2002. Upon expiration of SR-NASD-2002-98, the member regulatory pricing structure was to
The Private Placements topic of the 2024 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 and related considerations, (2) findings and effective practices, and (3) additional resources.
Reorganization and Revision of NASD Mediation Rules
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to: (1) amend the standardized membership application forms — Form NMA (New Membership Application Form) and Form CMA (Continuing Membership Application Form) — required under Rule 1013 (New Member Application and Interview) and Rule 1017 (
Filing Guidance - Public Offering Review
An exemption is granted based on the following: (1) Name was not an MFP at the time the Contribution was made and was not involved in the solicitation of new municipal securities business; (2) the Firm took action once it became aware of the Contribution by voluntarily refraining from new State or its issuing authorities municipal securities business pending the outcome of the exemption request; (3) the Firm notified Name of his designation as an MFP and the accompanying restrictions; (4) the Firm has agreed to restrict Name's municipal securities activities, minimizing the potential for quid pro quo resulting from the Contribution; and (5) although a less weighty factor, the Contribution has been returned.
