TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,569. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Given the growth of the international prime brokerage (IPB) business, FINRA recently interviewed representatives from many of the largest prime brokerage firms to determine how this business is conducted.
TO: All NASD Members and Other Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
EXECUTIVE SUMMARY
Beginning with the August 15, 1987, administration of the Series 7 General Securities Registered Representative Examination, the NASD will collect a $10 test-development fee from its members for the New York Stock Exchange (NYSE) for each Series 7 grade posted to a candidate's
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
• Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
FINRA Rules 2010 and 103301
Principal Considerations in Determining Sanctions
Monetary Sanction
Suspension, Bar or Other Sanctions
See Principal Considerations in
• Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
Arbitration Award—Failure to Honor or Failure to Honor in a Timely Manner
FINRA Rules 2010 and 103301
Principal Considerations in Determining Sanctions
Monetary Sanction
Suspension, Bar or Other Sanctions
See Principal
The Cybersecurity and Cyber-Enabled Fraud topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
The Market Access Rule topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
