FINRA Issues Guidance Regarding the Use of Stop Orders During Volatile Market Conditions
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
INFORMATIONAL
Business Conduct and Responsibility Rules
Effective Date: October 15, 2002
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Legal & Compliance
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Security Futures
Executive Summary
On October 15, 2002, the Securities and
I should be able to choose the public investments that are right for me and my family. Leveraged and inverse funds are important to our investment strategies. Leveraged etfs will run well with enhanced return if the trend is up whereas inverse ETFs help to protect our investments during market correction and downtrend. Hence, public investments, especially hedging, should be available to all of
Artificial Intelligence (AI) technology is transforming the financial services industry across the globe. Financial institutions are allocating significant resources to exploring, developing, and deploying AI-based applications to offer innovative new products, increase revenues, cut costs, and improve customer service.1 First developed in the early 1940s, AI technology has gained
ACTION REQUESTED
Alternative Display Facility
SEC Comment Period Expires: January 21, 2002
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Executive Representatives
Legal & Compliance
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Alternative Display Facility
Executive Summary
On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule
The Regulatory Events Reporting 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.
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
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Publication Date: March 20, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3 Customer protection — reserves and custody of securities.Except where otherwise noted, § 240.15c3-3 applies to a broker or dealer registered under section 15(b) of the Act (15 U.S.C. 78o(b)), including a broker or dealer also registered as a security-
Supplemental FOCUS Filing Requirement Applicable to Certain Joint Broker-Dealers/Futures Commission Merchants
