SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
Firms cited several different benefits and challenges they encountered during their cloud journey.
In particular, firms noted that in assessing the potential benefits and challenges related to the use of cloud computing it is important to assess them in comparison to the other alternatives available to firms, such on-prem environments (which carries its own relative benefits and challenges). The
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
GUIDANCE
Portfolio Margin Program
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Portfolio Margin
Rule 2520
Rule 2860
Executive Summary
On February 12, 2007, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend
Comprehensive Automated Risk Data System
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Risk
Senior Management
Technology
Key Topics
Reporting Requirements
Referenced Rules &
Summary
FINRA alerts members to an emerging threat to customers and members, where FINRA, NASDAQ and NYSE have observed initial public offerings (IPOs) for certain small capitalization (small-cap) issuers listed on U.S. stock exchanges that may be the subject of pump-and-dump-like schemes (sometimes referred to as "ramp-and-dump" schemes in other jurisdictions).1 FINRA has observed
The Anti-Money Laundering, Fraud and Sanctions section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Exchange-traded products (ETPs) are a popular way to invest, with thousands of different products available to target almost every imaginable investment objective, but it’s important to remember that not all ETPs are the same. Leveraged and inverse ETPs are complex investments that come with a unique set of risks.
