The proposed regulatory changes are embarrassing - to FINRA and the SEC, and an insult to investors. I should be able to make investments in the targeted public securities that I believe are in my (and my family's) best interests without going through a special process. Further, given all the extreme movements in individual stocks recently (Gamestop exemplifies), why limit the initiative to
Summary
FINRA requests comment on a proposal to expand TRACE reporting requirements to collect information on trades in foreign sovereign debt securities that are U.S. dollar-denominated. Issuance activity in these debt securities has accelerated in recent years and FINRA believes the proposal would provide important regulatory information on an increasingly active segment of the market. Under
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Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
As of August 29, 1994, the following bonds were added to the Fixed Income Pricing System (FTPSSM). These bonds are not subject to mandatory quotation:
Symbol
Name
Coupon
Maturity
HNTC.GA
Huntsman Corp.
10.625
3/31/01
SCTI.GA
SCI Tele Inc.
11.000
6/30/
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Senior Management
Institutional
Legal & Compliance
Operations
Trading
Executive Summary
On May 5, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Interpretation of the Board of Governors—Forwarding of Proxy and Other Materials under Article III, Section 1 of the NASD® Rules of Fair Practice1 (Interpretation). The
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.
Operational Impact of Rule Changes
Rather than
FINRA issues this publication to assist member firms in their compliance efforts. As in past years, this edition highlights examination priorities and frequently found deficiencies relating to FINRA's examination program.
Questions and answers regarding the Mutual Fund Breakpoint Assessment
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
INFORMATIONAL
NASD Board Of Governors Nominees
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KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of
