Summary
Effective June 1, 2020, members must report transactions in U.S. Treasury Securities executed to hedge a primary market transaction with an appropriate identifier. Members will have additional time to report such transactions—until the next business day during TRACE system hours. The rule text is available in the online FINRA Manual.
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Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
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FINRA is issuing this Notice to remind member firms of their supervisory obligations under FINRA Rules 3110 (Supervision) and 3120 (Supervisory Control System) if they hold or transact in customer accounts owned by municipal entities or obligated persons (municipal clients), as defined in Section 15B of the Securities Exchange Act of 1934 (Exchange Act), and participate in investment-related
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Guidance to Members Affected by Hurricane Sandy
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSystemsTrading
Executive Summary
In July, the NASD Board of Governors solicited member comment on eliminating a safe harbor for members trading ahead of customer limit orders. After reviewing comments received from members and others, the Board has taken action to eliminate the disclosure safe harbor and to
INFORMATIONAL
USA PATRIOT Act
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Money Laundering
Compliance Programs
Executive Summary
On November 19, 2002, the Department of the Treasury and its bureau the Financial Crimes Enforcement Network (FinCEN) advised associations
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On May 13, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article V, Section 1 of the NASD Rules of Fair Practice. The amendments permit suspension of members and associated persons in disciplinary actions
