The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rules 6951, 6954 and 9610 and to add a new Rule 6958. The proposed rule change would: (1) provide that the time of order origination and receipt for an electronic order is the time the order is captured by a member's electronic order-routing or execution system,
INFORMATIONAL
Hard To Borrow List
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Trading & Market Making
Affirmative Determination
NASD Rule 3370
Short Sales
Executive Summary
On March 23, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of
Monthly Disciplinary Actions August 2019
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
Federal Reserve Board Regulation T governs the extension of credit to customers by broker/dealers. Among the provisions of Regulation T are requirements governing the initial margin
Proposed Rule Change to Amend FINRA Rule 2360 (Options) Position Limits
A member is not an "affiliated member" of an insurance company for purposes of Rule 2820(g)(4)(D) where no control relationship exists between the entities.
GUIDANCEContinuing EducationSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceRegistrationSenior ManagementContinuing EducationFirm ElementExecutive SummaryThe Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a guide for firms to use when developing their continuing education Firm Element training plans.
The fact that this proposed rule is even being considered is chilling. The USA has always lead the world by being the epitome of free market capitalism. Its a travesty that this anti-patriotic, anti-capitalist, authoritarian rule was even proposed. What a crying shame.
Monthly Disciplinary Actions June 2019
This seems ill designed to solve the problem. Another self reporting requirement is not going to help. There will just be more reporting violations that don't change the bad behavior we're trying to deter. FINRA and the SEC should build onto or leverage this with their FINRA CAT. There are far too many rules and many seem not to be designed very well; scrap those rules and outdated
