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Statement for the Record of Gerri Walsh Before the Special Committee on Aging
The Financial Industry Regulatory Authority (FINRA) appreciates the opportunity to submit this statement for the record of the Committee’s hearing to examine fraud among senior investors.
Notice to Members 05-78
GUIDANCE OATS Reporting Requirements Effective Date: May 8, 2006 SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Systems Trading Training OATS Rules 6950–6957 Executive Summary On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950 through 6957
Regulatory Notice 18-06
FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
Election Notice - 10/19/11
Notice of FINRA District Committee Election and Ballots
Regulatory Notice 14-34
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
SEC Regulation M-Related Notice Requirements Under FINRA Rules Frequently Asked Questions
The following FAQ is provided to facilitate firms' compliance with FINRA Rules 5190 (Notification Requirements for Offering Participants), 6275 (Withdrawal of Quotations) and 6435 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M). A comprehensive overview of these rules and related guidance is set forth in Regulatory Notice 08-74 and Regulatory
Regulatory Notice 10-09
FINRA Reminds Firms of Their Sales Practice Obligations With Reverse Exchangeable Securities (Reverse Convertibles)
Regulatory Notice 21-16
Summary FINRA reminds member firms about requirements when using predispute arbitration agreements for customer accounts. Where member firms use mandatory arbitration clauses in their customer agreements, FINRA rules establish minimum disclosure requirements regarding the use of such clauses and prohibit predispute arbitration agreements from including conditions that, among other things, limit
Notice To Members 95-56
SUGGESTED ROUTING Senior Management Corporate Finance Institutional Legal & Compliance Mutual Fund Executive Summary The NASD has filed with the Securities and Exchange Commission (SEC) a proposal to amend Article III, Sections 26 and 29 of the NASD Rules of Fair Practice to revise existing rules applicable to the sale of investment company securities and establish new