On July 30, 2007, NASD and the New York Stock Exchange (NYSE) consolidated their member regulation operations.
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).
Neutral Corner - February 2008
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Trading and Markets
Debt Securities
Operations
Rule 7000 Series
TRACE Rules
Executive Summary
On March 6, 2007, the Securities and Exchange Commission approved an amendment to Rule 7030 relating to the availability of TRACE
Summary
FINRA adopted amendments to Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11)1 in light of the Securities and Exchange Commission’s (SEC) amendments to SEC Rule 15c2-11 (SEC Rule 15c2-11).2 As amended, Rule 6432 will require a qualified inter-dealer quotation system (Qualified IDQS)3 to submit a modified Form 211 filing to FINRA in connection with each initial
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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general
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).
FINRA is issuing this Information Notice to inform members of the existence and role of the Cross-Market Regulation Working Group (CMRWG), which was established under the U.S. Subgroup of the Intermarket Surveillance Group (ISG), to focus on ways to reduce unnecessary regulatory duplication.
Please see the attached ISG CMRWG Regulatory Memorandum 2020-01 (“Notice”) that was issued by
GUIDANCE
Reporting Requirements for "Piggybacking" Arrangements
Effective Date: February 20, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Clearing Agreements
"Piggybacking" Arrangements
Rule 3150
Rule 3230
Executive Summary
On August 26, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD
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
