Investment planning doesn’t stop once you make an investment. Evaluating the performance of your investments is a critical part of managing—and monitoring—your investment assets over time.
Effective Date: September 4, 1997
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
On September 4, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the definition of "qualified independent underwriter" in Rule 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to the
FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On January 5, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change codifying existing requirements for access to and use of the OTC Bulletin Board® service (OTCBB).1 This codification will provide a ready reference to OTCBB rules and operational requirements in a discrete section of
By FINRA Departments of Member Supervision and Enforcement
A call to FINRA’s Senior Helpline resulted in $3.4 million returned to approximately 300 customers.
In 1996, the Santa Rosa Bay Bridge Authority in Milton, Fla. issued bonds to raise capital for the construction of a bridge. Fast forward about 25 years to February 2021: A customer contacted FINRA’s Senior Helpline, concerned that he had
FINRA Requests Comment on Proposed Amendments to FINRA Rules to Support the Industry Initiative to Shorten the Settlement Cycle for Securities in the U.S. Secondary Market From T+3 to T+2
OverviewActivities relating to FinTech business models has attracted the interest of prospective and existing FINRA member firms. This guidance is intended to provide applicants with direction on key regulatory and compliance questions and challenges for both perspective and existing FINRA members. A prospective FINRA member firm must seek approval for new FINRA membership through the submission
SUGGESTED ROUTING
Legal & Compliance
Options
Trading
Executive Summary
On April 20, 1995, the Securities and Exchange Commission (SEC) approved an NASD® proposal to amend Section 33(b)(3) of the NASD Rules of Fair Practice to increase the position and exercise limits for certain equity securities that are not subject to standardized options trading.1 Specifically, with
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
