SUGGESTED ROUTING
Senior Management Corporate Finance Legal & Compliance Syndicate
Executive Summary
On May 10, 1994, the Securities and Exchange Commission (SEC) approved amendments to Schedule E to the NASD By-Laws (Schedule E) that require compliance with its provisions if a member participating in a distribution of a public offering of debt or equity securities has a conflict
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Summary
In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes to TRACE reporting for U.S. Treasury securities that would require: (1) more granular
Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
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Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3aExhibit A - Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3 CreditsDebits 1.Free credit balances and other credit balances in customers' security accounts
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
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FINRA Notice of Special Meeting of Small Firms and Proxy
A member is not an "affiliated member" of an insurance company for purposes of Rule 2820(g)(4)(D) where no control relationship exists between the entities.
