GUIDANCENon-Payment of Arbitration AwardsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal and ComplianceSenior ManagementNASD By-LawsNon-Payment of Arbitration AwardsExecutive SummaryThe Securities and Exchange Commission (SEC) has approved two amendments to the NASD By-Laws that further strengthen NASD's ability to prevent formerly associated persons from re-entering the securities
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to permit member alternative trading systems (ATSs) and ATS subscribers additional flexibility in transitioning to disaggregated reporting by April 12, 2019.
Comment Period Expires January 17, 1995
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInternal AuditLegal & Compliance
Executive Summary
The Department of the Treasury (Treasury) is publishing for comment proposed amendments under the Government Securities Act of 1986 (GSA). The amendments would establish risk assessment rules for government securities broker/dealers
GUIDANCE
Portfolio Margin Program
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Portfolio Margin
Rule 2520
Rule 2860
Executive Summary
On February 12, 2007, NASD filed with the Securities and Exchange Commission (SEC) for immediate effectiveness a rule change to amend
All capital acquisition brokers are subject to FINRA Rule 4111.
Adopted by by SR-FINRA-2020-041 eff. Jan. 1, 2022.
Selected Notice: 21-34.
All capital acquisition brokers are subject to FINRA Rule 4580.
Adopted by SR-FINRA-2017-027 eff. Dec. 6, 2017.Selected Notice: 17-37.
All capital acquisition brokers are subject to FINRA Rule 2030.
Adopted by SR-FINRA-2017-027 eff. Dec. 6, 2017.Selected Notice: 17-37.
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to correct the inaccurate descriptions of the territorial boundaries of two NASD District Offices.
SUGGESTED ROUTING*
Senior ManagementInstitutional Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES or SOES Rules) proposed by the NASD to
WASHINGTON— FINRA announced today that after nine years in the Department of Enforcement, Christopher Kelly plans to leave FINRA on Nov. 1 to pursue other opportunities. In his most recent role of Senior Vice President and Deputy Head of Enforcement, Kelly oversaw the work of FINRA’s Enforcement attorneys throughout the country as well as Enforcement’s Litigation Group.
“Chris’s contributions to
