SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
Remarks from the Women in Housing and Finance Luncheon, as prepared for delivery.
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Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
As prepared for delivery.
Good morning. First let me thank Martin Baily for the invitation to talk with you this morning. Martin, I also want to commend you for the work you do here in Washington to bring about a greater understanding of business and the economy and, specifically of financial regulation.
It’s a pleasure to be here today to participate in this important discussion on the role of
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Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is reminding member firms that, effective October 1, 1997, the Securities and Exchange Commission (SEC) Transaction Fees for transactions in exchange-
GUIDANCE
Corporate Debt Securities
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Executive Summary
On June 14, 2004, the Securities and Exchange Commission (SEC or
Commission) approved
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
The Audit & Risk Committee (Committee) is a standing committee of the FINRA Board of Governors (Board). This Charter and the FINRA Governance Guidelines govern the operations of this Committee.
