FINRA’s Regulation Best Interest Conference, held on December 18, 2019, in Washington, DC was a one-day event designed to bring regulators, executives and industry practitioners together to learn more about Regulation Best Interest (Reg BI).
View the recorded sessions from the 2019 FINRA Regulation Best Interest Conference.
For technical questions, please call (800) 321-6273.
FINRA's
Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview) as Part of their New Membership Application
This request for exemptive relief is granted based on the Firm's representation that the Contributions were made prior to the individual being employed by the Firm, and that the individual has never engaged in municipal securities business, as defined by MSRB Rule G-37, the return of the Contributions, and the extensive information barriers and compensation restrictions.
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments to the definitions of "Bona Fide Independent Market" and "Bona Fide Independent Market Maker" in Rule 2720 of the NASD's Conduct Rules (Rule) (formerly Schedule E to the NASD's By-Laws). The approved amendments revise the definitions to determine eligibility for an exception from
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.
The staff granted an exemption from NASD Rule 2790 in connection with new issue offering where all decisions regarding the allocation of shares in the offering are determined at the sole discretion of the issuer, and the involvement of a member in the offering is mandated under state law and limited solely to ministerial functions.October 18, 2005 Noel M. Gruber, Esq.Kennedy &
GUIDANCE
Trade Shredding
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Trading
Market Orders
Rule 3380
Trade Shredding
Executive Summary
On February 24, 2006, the Securities and Exchange Commission
(SEC) approved new Rule 3380, Order Entry and Execution Practices,
which prohibits conduct known as "trade shredding."1 Specifically,
under
This rule is no longer applicable. NASD Rule 3150 has been superseded by FINRA Rule 4540. Please consult the appropriate FINRA Rule.
(a) Each member that is a clearing firm or self-clearing firm shall be required to report to NASD in such format as NASD may require, prescribed data pertaining to the member and any member broker-dealer for which it clears. A clearing firm or self-clearing firm
GUIDANCECorporate Debt SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTrainingDebt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting Executive SummaryNASD provides interpretive guidance on the meaning of the terms "foreign private issuer" and "issue date
Proposed Amendments to Postponement Fee Rule and Hearing Session Fee Rule under the Arbitration Codes
