SEC Approves Rule Amendment Requiring That ADF Market Participant Provide Advance Written Notice When Denying Access; Effective Date: October 20, 2004
Customer Option to Choose an All Public Arbitration Panel in All Cases
GUIDANCEResearch Analysts and Research ReportsEffective Date: March 30, 2004SUGGESTED ROUTINGKEY TOPICSContinuing EducationExecutive RepresentativesLegal & ComplianceRegistered RepresentativesRegistrationResearchSenior ManagementTrainingRegistrationResearch ReportsExecutive SummaryThe Securities and Exchange Commission (SEC) recently approved amendments to NASD rules to finalize and
INFORMATIONAL
Business Conduct and Responsibility Rules
Effective Date: October 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations, Trading and Training
Registered Representatives
Senior Management
Security Futures
Executive Summary
On October 15, 2002, the Securities and
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 3012 (Supervisory Control System), Rule 3013 (Annual Certification of Compliance and Supervisory Processes), and IM-3013 (Annual Compliance and Supervision Certification) to allow members, by no later than April 1, 2006, to submit the initial annual
In April 2021, FINRA published Regulatory Notice21-17 seeking feedback on any aspects of our rules, operations and administrative processes that may create unintended barriers to greater diversity and inclusion in the broker-dealer industry or that might have unintended disparate impacts on those within the industry.
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Debt research analyst" means an associated person who is primarily responsible for, and any associated person who reports directly or indirectly to a debt research analyst in connection with, the preparation of the substance of a debt research report, whether or not any such
If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a principal to the trade and shall honor such trade on the scheduled settlement date.
Amended by SR-FINRA-2013-053 eff. Feb. 3, 2014.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008
FINRA announced today the results of its election of two new members to its Board of Governors during the annual meeting of FINRA member firms on Monday. The elected Governors include: Large Firm Governor — J. Bradford Eichler, Chief Operating Officer, Stephens Inc.; Small Firm Governor — Erin Baskett, Chief Executive Officer, Sine Qua Non Capital LLC
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
