TO: All NASD Members and Level 2 and Level 3 Subscribers
The Securities and Exchange Commission has approved amendments to Schedule D to the NASD's By-Laws with respect to reporting trades in NASDAQ National Market System (NASDAQ/NMS) securities.
Under the amendments, which become effective January 8, 1988, orders that are executed between 4 p.m. and 5 p.m., Eastern Time, are to be reported
Comment Period Expires: July 15, 1997
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In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD® Rule 2210 to require that
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
TO: All NASD Members
The Association has been, receiving an increased number of inquiries regarding the application of Article III, Section 26 of the Rules of Fair Practice to certain compensation arrangements, and proposed arrangements, between principal underwriters and dealers in open-end management investment company shares (mutual funds) and unit investment trusts. These inquiries are
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The Securities and Exchange Commission (SEC) recently adopted Rule 15c6-1 under the Securities Exchange Act of 1934 to establish three business days, instead of five, as the standard settlement time-frame
April 18, 1994
Dear Member:
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on record-keeping and record retention, respectively, were also approved. The limitations and requirements
FINRA shares an annual snapshot of some of the data collected in the course of its work to increase public awareness and understanding about the broad range of FINRA-registered firms and individuals.
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The FINRA Industry Snapshot provides a high-level overview of the industry, ranging from the number of FINRA-registered individuals to the
FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
(a) No member that is promoting a day-trading strategy, directly or indirectly, shall open an account for or on behalf of a non-institutional customer, unless, prior to opening the account, the member has furnished to the customer the risk disclosure statement set forth in Rule 2270 and has:
(1) approved the customer's account for a day-trading strategy in accordance with the
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
