Remarks by Richard Ketchum From the 2014 FINRA Annual Conference
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 11, 1997, the National Association of Securities Dealers, Inc. (NASD®) Board of Governors approved the solicitation of comment on a proposed rule that would amend Rule 6530 to limit
The FINRA Board of Governors will consider the following rulemaking items at its July 2013 meeting.
By Robert Cook, President and CEO, FINRA. The Consolidated Audit Trail, or CAT, is an SEC-mandated reporting system that collects data regarding trading in the U.S. equities and options markets. The SEC first proposed CAT in 2010 when the limitations of pre-CAT reporting facilities were highlighted by the Flash Crash. The final CAT rule was adopted by the SEC in 2012, a more detailed plan for CAT was approved by the SEC in 2016, and reporting into CAT was implemented in phases from 2018 to 2024.
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has issued Release No. 34-28347, containing proposed amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The proposal would expand
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-1, which establishes three business days as the standard time period for settling transactions in most securities (T+3), is effective June 7,
