GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Systems
Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
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Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
SUGGESTED ROUTING*
Government SecuritiesLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has adopted amendments to Rule 17M, also known as the Lost and Stolen Securities Program. Among other things, the amendments: 1) expand the definition of
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENT
EXECUTIVE SUMMARY
The NASD requests comment on proposed amendments to Article IV, Section 3 of
TO: All NASD Members
The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985.
However, on August 17, 1984, with the full
The Communications with the Public section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Alternative Display Facility
ADF Trading Centers
Regulation NMS
SEC Rule 611
SEC Approves Amendments to NASD Rule 2821 Governing Purchases and Exchanges of Deferred Variable Annuities
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Hearing Panel Consideration
(1) Appointment of Hearing Panel
When the disqualified member, sponsoring firm, or applicant requests a hearing, the National
FINRA provides real-time market trade information for Corporate and Agency bonds, Securitized Products (ABS, CMO, MBS, TBA) and Private Placement (144A) bonds including execution date and time, quantity, price, and yield as reported to TRACE (Trade Reporting And Compliance Engine). Since the bond market is less liquid than most markets for stocks, there may be no trade activity
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