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116. Application for Approval of Change in Ownership, Control, or Business Operations
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1017. (b) An existing FINRA member that seeks to change its status to a capital acquisition broker and is already approved to engage in the activities of a capital acquisition broker, but which does not intend to change its existing ownership, control or
Improving Examination Results - May 2007
NASD issues this annual publication to assist member firms in their compliance efforts.
SR-FINRA-2009-064
Proposed Rule Change Relating to the Publication of Certain Daily and Monthly Short Sale Data on the FINRA Web Site
SR-FINRA-2011-035
Proposed Rule Change to Adopt FINRA Rules Regarding Communications with the Public in the Consolidated FINRA Rulebook
SR-FINRA-2007-040
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delay the effective date of certain FINRA rule changes approved in SR-NASD-2004-183 until August 4, 2008.
John W. Marcus, PIBC Securities LLC
May 9, 2001 Mr. John W. Marcus Chairman PIBC Securities LLC 640 Fifth Avenue New York, NY 10019 Re: Exemption Request from Fidelity Bonding Requirements Dear Mr. Marcus: I am responding to your letter of November 21, 2000, in which you request that PIBC Securities LLC ("PIBC") be exempt from the requirement to maintain a fidelity bond under NASD Rule 3020. Specifically, your
Regulatory Notice 10-43
Amendments to FINRA Rules on Trading Pauses Due to Extraordinary Market Volatility and Clearly Erroneous Transactions in Exchange-Listed Securities
Regulatory Notice 14-04
SEC Approves Amendments to FINRA Rules 6271 and 6272 Regarding the Requirements For Firms Seeking Registration as FINRA Alternative Display Facility (ADF) Market Participants
Regulatory Notice 12-38
SEC Approves Amendments to FINRA’s Short-Interest Reporting Rule
The Neutral Corner - Volume 1—2020
The Neutral Corner—Volume 1, 2020 Mission Statement Office of Dispute Resolution and FINRA News COVID-19 Notice to Parties and Arbitrators Case Filings and Trends 2019 Arbitrator and Mediator Diversity Statistics Removal of the Award Information Sheet from FINRA's Website Register for the Portal Portal How-to Videos Rule Approval Amendments to FINRA Rule 12000 Series to Expand