Good morning, Mr. Chairman, Senator Gramm, Members of the Committee. On behalf of the NASD, I want to thank the Committee for this opportunity to testify – and to commend you for holding a timely hearing on a vital subject.
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 theMunicipal Securities Rulemaking Board (MSRB).
FINRA has delayed the launch for the expansion of summary data relating to over-the-counter (OTC) equity trading that FINRA publishes on its website. The revised date for this information to become available will be Monday, December 2, 2019.
Beginning on December 2, 2019, FINRA will provide:
new monthly aggregate block-size trading data for OTC trades in NMS stocks executed outside an
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
INFORMATIONAL
Interval Funds
Effective Date: June 20, 2000
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Mutual Fund
Registered Representatives
Mutual Funds
NASD Rule 2710
NASD Rule 2830
Underwriting Compensation
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of Securities Dealers
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
Effective April 1, 1998, the Board of Governors (Board) of the Federal Reserve System (FED) adopted several amendments to Regulation (Reg) T, as well as Regs U and X. In
Ryan Broussard is no stranger to the Createathon Winners’ Circle. Since participating in his first event in 2020, his team GLAM 2.0 won third place overall and the People’s Choice Awards in 2020, team AQUA took first place in 2021, and 2022 his team IPIC won first place overall and the People’s Choice Awards. That’s quite a winning resume, However, for Ryan, it’s not all about winning. It’s also about innovation, collaboration, networking, and developing creative solutions that benefit FINRA and ultimately firms and the industry.
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
For July 8, 2019, transactions disseminated for the below listed 57 Freddie Mac-issued mortgage-backed securities traded in specified pool transactions (MBS transactions) do not reflect the most recent reference data element updates provided by Freddie Mac on Saturday, July 6 2019. Consequently, the dissemination ID (RDID) used for MBS transactions in the below listed securities reflect reference
