Remarks from the Women in Housing and Finance Luncheon, as prepared for delivery.
Remarks From FINRA Fixed Income Conference
INFORMATIONAL
Locked/Crossed Markets
Effective Date: June 5, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Locked/Crossed Markets
NASD Rule 4613
Executive Summary
On February 7, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding securities arbitration.
February 20, 2015
Mr. Gregory J. Nowak
Pepper Hamilton LLP
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, PA 19103-2799
Re: FINRA Rule 5130 - Restrictions on the Purchase and Sale of Initial Equity Public Offerings
Dear Mr. Nowak:
This is in response to your letter dated December 3, 2014, in which you request interpretive guidance on behalf of PCV Lux, SCA ("PCV
Summary
This Notice announces, effective immediately, clarifications of interpretations of FINRA margin requirements regarding day trading (Rule 4210(f)(8)(B)(ii)).
Questions concerning this Notice should be directed to:
James Barry, Director, Credit Regulation, Office of Financial and Operational Risk Policy, at (646) 315-8347 or by email;
Joseph David, Principal Specialist, Credit
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
TO: All NASD Members
The Board of Governors of the Federal Reserve System has adopted a number of important revisions to Regulation T. These amendments are effective on November 21, 1983; however, at their option, members may elect to operate under the revised provisions after June 20, 1983. A detailed summary of the major revisions and the text of the amended rule follows.
These changes to
SUGGESTED ROUTING
Senior Management
Government Securities
Legal & Compliance
Operations
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments to the financial responsibility requirements established under the Government Securities Act of 1986. The amendments raise the minimum capital requirements for all government securities broker/
