SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 9, 1992, the NASD® submitted rule proposals to the Securities and Exchange Commission (SEC) regarding quotation and transaction reporting requirements for members trading
What is Gson? Gson is a Java Library widely used to convert Java Objects into their JSON representation and vice versa.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 15 of the NASD Rules of Fair Practice. The amendments would exempt certain bulk exchanges of money market mutual funds utilizing
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
To improve disclosure of broker-dealer compensation for order flow and to make the disclosure more uniform, the NASD Board of Governors
The Neutral Corner Topical Index; Volume 5 - 2008; Curveballs: Unexpected Situations that Arise During a Hearing; Dispute Resolution News; Discovery Arbitrator Pilot; Did You Know; Question and Answer; Mediation and Business Strategies Update; Regional Updates
Remarks from the FINRA Annual Conference
Summary
FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that promote or recommend private placement offerings that are subject to those rules’ filing requirements.1 The new filing requirements become effective on October 1, 2021.
The amended
TO: All NASD Members And Interested Persons
The Association has adopted amendments to its Interpretation on Free-Riding Withholding in order to clarify the application of the Interpretation to offerings in which there is a delay between the commencement of the offering and the beginning of a secondary market. These amendments have been approved by the Securities and Exchange Commission on a
Imagine a new age of regulation in which compliance efforts were highly effective, and were also inexpensive. This seeming alchemy is coming to financial services in the form of new-generation “regtech.”
The FINRA South Region Member Forum is a one-day event designed to provide financial professionals associated with FINRA member firms in the South Region the opportunity to engage in key discussions with FINRA staff, and connect with industry leaders and peers. The forum also includes thoughtful discussions around the future landscape of the financial services industry, and provides
