TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers.
The amendments to SEC Rule 15c3-l will
Summary
In August 2019, FINRA launched a retrospective review that, among other things, sought stakeholders’ input on the effectiveness of Rule 3240 (Borrowing from or Lending to Customers).1 Based on feedback received during the review, FINRA is proposing amendments to Rule 3240 to:
emphasize that the rule generally prohibits registered persons from entering into borrowing or
FINRA is committed to ensuring that all respondents are treated fairly in the disciplinary process. Below, you will find brief answers to a number of questions frequently asked by respondents. We hope these answers will be helpful in orienting you to the disciplinary process.
FINRA's disciplinary proceedings are governed by the FINRA Code of Procedure (the Code). You should consult the Code
SEC Approves Consolidated Rule to Address Conflicts of Interest Relating to the Publication and Distribution of Equity Research Reports
Web EFT Frequently Asked Questions
As prepared for delivery
Good afternoon. Thank you, Wayne [Abernathy], for that kind introduction and for the invitation to speak with you today. It is a pleasure to address this group, which plays such a unique role in facilitating the open discussion of important issues facing our economy and financial system.
Most of you, I assume, invest in the stock market. Many of you invest through
The Market Order Timeliness Statistical Report is published monthly based upon firm-reported data detailing the number of customer market orders executed by your firm in NMS securities and classifying these orders based on time duration to execute. Supplementary Material .01 of FINRA Rule 5310 – Best Execution and Interpositioning - states that member firms must make every effort to execute
T CAPITAL FUNDING, LLC600 NORTHLAKE BOULEVARD, SUITE 175, ALTAMONTE SPRINGS, FL 32701T&G PRIVATE CAPITAL LLC44 WALL STREET, SUITE 602, NEW YORK, NY 10005T. E. LAIRD SECURITIES, LLC79 OTIS AVENUE, ST. PAUL, MN 55104T. ROWE PRICE INVESTMENT SERVICES, INC.1307 POINT STREET, BALTIMORE, MD 21231T.R. WINSTON & COMPANY, LLC376 MAIN STREET, BEDMINSTER, NJ 07921-2613Mailing Address: P.O.
Comment Period Expires: October 31, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is seeking from members, associated persons, and others, comments on the procedures for obtaining injunctive relief and expedited proceedings under Rule 10335 of the
