2025 Program Dates: November 16 – 21This course takes place at Georgetown University's McDonough School of Business in Washington, DC. Over five days, Georgetown University business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I.
(a) No member shall sell investment company shares in dollar amounts just below the point at which the sales charge is reduced on quantity transactions so as to share in the higher sales charges applicable on sales below the breakpoint.
(b) For purposes of determining whether a sale in dollar amounts just below a breakpoint was made in order to share in a higher sales charge, FINRA
The 2019 National Compliance Outreach Program for Broker-Dealers is a one-day program intended for compliance, audit, and other senior personnel of broker-dealer firms and branch offices.
Steven Price is Senior Vice President, Market Investigations and oversees FINRA’s Market Investigations program, which is responsible for conducting investigations into trading activities, reporting and related processes and controls involving equities, options, and fixed income products and security-based swaps. Mr. Price previously led FINRA’s National Cause Program, which conducts reviews and
(a) Each member or its agent that is a participant in a registered clearing agency, for purposes of clearing over-the-counter securities transactions, shall participate in fail reconfirmation and pricing services when offered.
(b)(1) A contract submitted to a reconfirmation and repricing service ("service") which has been DK'd ("Don't Know") by the contra-party or
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At FINRA, our mission is to protect investors and promote market integrity. Our employees are passionate about this commitment, and it's one of the strongest ties that connect our current and former
INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The Securities and Exchange
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(a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade through its trading facilities and that consists of stocks whose inclusion and relative
Eliminate dark pools Fines should be greater than the profit hedge made from the illegal activity Jail time is needed for market manipulation. Short positions should be forcibly closed out if illegal market manipulation is found and trading rights of those involved should be revoked. Shorting taking place in the dark pool needs to be disclosed to the public. If an institution buys shares in the
I am just simply fed up with this incredible UNFAIR "FREE" market. As a retail investor for the better part of the year I began investing with the tolerance to idly stand by as positions where I have stake have been very clearly manipulated. No longer will I be a silent bystander because after the last few weeks I have seen it is very apparent to me that these problems run deeper. I
