SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule); Effective Date: October 12, 2004
For Your Information
As described in NASD Notice to Members 01-67, President Bush issued an executive order on September 24, 2001, blocking the property of and prohibiting transactions with persons who commit, threaten to commit, or support terrorism. The order was issued through the U.S. Treasury's Office of Foreign Assets Control (OFAC); the offices of the Secretaries of State and
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Rule 2211
Executive Summary
On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and
Summary
FINRA has received an increasing number of reports regarding customer account takeover (ATO) incidents, which involve bad actors using compromised customer information, such as login credentials (i.e., username and password), to gain unauthorized entry to customers’ online brokerage accounts.
To help firms prevent, detect and respond to such attacks, FINRA recently organized roundtable
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Options Position and Exercise Limits
Effective Date: February 28, 2005
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Delta Hedging
Exercise Limits
Hedge Exemption
On October 20, 2020, FINRA announced the Small Firm Advisory Committee (SFAC) election for the South region. Eligible small firms in the South region were mailed a copy of the Election Notice and a ballot to vote in this election. Ballots must be returned no later than November 19, 2020, and the newly elected SFAC member will take office in January 2021.
Candidates
To
Comment Period Expires: May 17, 1995
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Executive Summary
The NASD requests member comment on a proposed Interpretation of the NASD Board of Governors to Article III, Section 2 of the NASD Rules of Fair Practice (RFP). The
Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
INFORMATIONAL
NASD and NYSE Joint Release on
Section 311 of the USA PATRIOT Act
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Discussion
This Notice reminds member organizations that the Financial Crimes
Enforcement Network (FinCEN) has issued a final rule imposing a
special measure,1 which becomes effective August
