NTM 06-72 supersedes NTM 06-60GUIDANCE
Customer Account Statements
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Executive
FINRA announced today that it has fined BofA Securities, Inc. $24 million for engaging in more than 700 instances of spoofing through two former traders in U.S. Treasury secondary markets and related supervisory failures spanning more than six years.
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Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Noticeto clarify the application of the Association's Limit Order Protection Rule (Conduct Rule IM-2110-2) in
Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed ABS Transactions
SEC Approves Expanding Disseminated Real-Time TRACE Data
Please do not impose this rule. This leaves only wealthy investors to take part in opportunities with these funds. Investors know there are risks inherent with investing, especially in leveraged funds. This new rule will hurt investors, not help them. I strongly urge you to reconsider. Thank you.
Exemptive relief is granted based on the following considerations: (1) the contributions were made prior to Individual's employment by the Firm; and (2) at the time of the contributions, Individual had no personal involvement in soliciting new, or participating in existing municipal securities business.
SEC Approves Amendments to FINRA Rule 5110 to Permit Termination Fees and Rights of First Refusal
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
Our Rules
FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
