Guaranteed Senior Unsecured Debt Is a TRACE-Eligible Security
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to (1) amend FINRA Rules 6710 and 6750 to provide that FINRA will disseminate information on individual transactions in U.S. Treasury Securities that are On-the-Run Nominal Coupons reported to FINRA’s Trade Reporting and Compliance Engine (“
Proposed Rule Change to Repeal NASD Rule 2450, NASD Interpretive Material 2830-2 and Incorporated NYSE Rule 413 as Part of the Process of Developing the Consolidated FINRA Rulebook
SEC Approves Amendments Relating to Recordkeeping and the Unsolicited Customer Order Exception of SEA Rule 15c2-11
New Member Applications
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Legal & Compliance
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Executive Summary
NASD is issuing this Notice to inform
Proposed Rule Change to Revise the Operative Date for Deletion of Rule 7740 Pursuant to SR-FINRA-2014-032
Personnel Background Investigations
Regulatory Notice
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Referenced Rules & Notices
Article III, Sections 3 and 4 of the FINRA By-Laws
NASD Rule 3010(e)
NTM 97-19
NTM 05-39
NYSE Interpretation Handbook Rule 345.11/01
NYSE Rule 345.11
NYSE Rule 346b
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Hello,
I am writing this comment about the "Regulatory Notice 22-08". In short, this notice pertain to what FINRA considers as a "complex product".
As goes with almost everything the "complexity" is in the eyes of the beholders. What's complex for one might be simple for another. Therefore, I believe, imposing someone's
Summary
The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed
