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
That is a bad rule. investors should reject this
The proposed rule is an over reach and unnecessary.
GUIDANCE
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The 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
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29093 proposing for public comment the so-called "Penny Stock Disclosure Rules" to implement
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
NASD issues this annual publication to assist member firms in their compliance efforts.
FINRA member firms should be aware of a technique threat actors use to avoid network defenders detecting the required communications of malware. On April 3, 2025, the Cybersecurity and Infrastructure Security Agency (CISA), National Security Agency (NSA), Federal Bureau of Investigation (FBI), Australian Signals Directorate’s Australian Cyber Security Centre (ASD’s ACSC), Canadian Centre for Cyber Security (CCCS) and New Zealand National Cyber Security Centre (NCSC-NZ) issued a joint cybersecurity advisory (CSA) to warn organizations of the ongoing threat of one such technique: fast flux.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
The Supervision section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
