FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
Continuing Education Planning
Executive Summary
In mid-January, the Securities and Exchange Commission (SEC) approved a revised NASD Manual. To facilitate your adjustment to this new Manual, which is scheduled for publication and dissemination this May, we have included a Guide to the Manual: New-to-Old Conversion Chart and Old-to-New Conversion Chart. This material outlines the reorganized Manual and indicates where the
With a new year come new financial challenges, resolutions, and investment risks. On this episode, FINRA’s Head of Investor Education shares insights on leveraging market trends and tools to achieve your money goals in 2025.
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
ACTION REQUIRED
Electronic Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
Continuing Education Planning
The Direct Market Access Controls 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.
October 21, 2002OATS recently added a Special Handling Code, "TS", for a Trailing Stop Order. For the purposes of OATS reporting, a Trailing Stop Order is defined as follows: In the case of a sell order, a Trailing Stop Order allows the stop price to increase by a predetermined amount or formula (e.g., a specified dollar amount, a percentage of the market price, or some other
