Net Capital
Liquidity Management
Credit Risk Management
Segregation of Assets and Customer Protection
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The units of delivery for certificates of deposit for bonds, shall be the same as prescribed for bonds in Rule 11362.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
INFORMATIONAL
Margin Disclosure and Day-Trading Risk Disclosure Statements
Effective Date: July 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Day-Trading Risk Disclosure
<p>Permissibility of electronic approval of accounts under NASD Rule 3110(c)(1)(C). (Note: Underlining indicates redactions from original letter).</p>
Proposed Rule Change Relating to Fee for the Operations Professional Examination
<p>FINRA Rule 2210 - Communications with the Public</p>
(a) Requirements for Participation in Certain Public Offerings
No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2).
(1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
(a) Requirements for Participation in Certain Public Offerings
No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2).
(1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
(a) A member shall make available to inspection by any bona fide regular customer, upon request, the information relative to such member's financial condition as disclosed in its most recent balance sheet prepared either in accordance with such member's usual practice or as required by any state or federal securities laws, or any rule or regulation thereunder. In lieu of making such
