FINRA's Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced advertising professionals. Industry and Regulatory speakers will facilitate interactive, forward-looking discussions on current practices, policies, priorities and emerging regulation. This year’s conference also includes opportunities to networking with industry peers and meet one-on-
(a) A member shall, at or before the completion of any transaction in any security effected for or with an account of a customer, give or send to such customer written notification ("confirmation") in conformity with the requirements of SEA Rule 10b-10.
(b) A confirmation given or sent pursuant to this Rule shall further disclose:
(1) with respect to any transaction in any NMS stock,
Proposed Rule Change Relating to FINRA’s Trading Activity Fee Rate for Transactions in Covered Equity Securities
Protecting investors means protecting their data, too. Our Small Firm Cybersecurity Checklist supports small firms in establishing a cybersecurity program to:Identify and assess cybersecurity threats;Protect assets from cyber intrusions;Detect when their systems and assets have been compromised;Plan for the response when a compromise occurs; andImplement a plan to recover lost, stolen or
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On January 13, 1999,
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-015 from June 15, 2020 to July 31, 2020. In response to the impacts on FINRA’s operations caused by the outbreak of the coronavirus disease (COVID-19), SR-
Have now studied the stock market and how groups like CITADEL have been absolutely stealing from the Global Investment Community while SEC/FINRA/LEGISLATORS/PRESIDENT are simply turning a blind eye to Naked Shorting/handling FTD's and being able to manipulate stock prices by using borrowed shares in DARK POOL TRADING. Ken Griffin needs to feel the pain that he has caused the world retail
I appreciate the opportunity to submit comments on Short Interest Reporting. I am not against short selling, and as a retail investor I have made some very profitable trades over the years on the short side. However, I was always required to locate the shares, request to borrow and confirm they were received before I could enter the position. I am concerned that the current rules are not being
The Series 27 exam — the Financial and Operations Principal Qualification Exam (FN) — assesses the competency of an entry-level principal to perform their job as a financial and operations principal.
