WASHINGTON—FINRA announced today that it has appointed Feral Talib as Executive Vice President and Head of Surveillance and Market Intelligence. He will assume the role on January 2.In the newly created role, Talib will be responsible for leading FINRA’s surveillance program, which serves a unique and critical role in fostering the integrity of the U.S. securities markets. As the markets have
The Fixed Income Mark-up Disclosure section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Proposed Rule Change to Revise the Series 23 Examination Program
Proposed Rule Change to Revise the Series 24 Examination Program
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article III, Section 27(g)(2) and a new Paragraph (g)(3) of the Rules of Fair Practice that would codify certain interpretations by the NASD
I greatly oppose this new Rule. As a New investor the ability to pick securities is a privileges I have residing in the U.S. It is my responsibility to research what I am purchasing. Not FINRA's to tell me what I can and cannot purchase.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Interpretive Material ("IM") 2210-4 to require a member firm or a person associated with a member firm that refers, on its internet web site, to the firm's membership in NASD to provide a hyperlink to NASD's web site.
Board Approves 2023 Annual Financial Report, Adds New Members to Advisory Committees and Hears Latest on FINRA’s Advanced Analytics Strategic Initiative
Proposed Rule Change Relating to Quotation Requirements for Unlisted Equity Securities and Deletion of the Rules Related to the OTC Bulletin Board Service
