(a) Notices Under Rule 4111
(1) Notice of Requirements or Restrictions
FINRA's Department of Member Regulation ("Department") shall issue a notice of its determination under Rule 4111 that a firm is a Restricted Firm and the requirements, conditions or restrictions to which the Restricted Firm is subject (hereinafter, collectively referred to as the "Rule
Permissible activities of a Series 11 Representative (Assistant Representative/Order Processing).<br/>
FINRA requests comment on a concept proposal regarding the application of FINRA rules to security-based swaps (SBS) following the Securities and Exchange Commission’s (SEC) completion of its rulemaking regarding SBS dealers and major SBS participants. Current FINRA Rule 0180, which will expire in September 2021, provides a temporary exception from the application of FINRA rules to SBS, with
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of February 23, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
CRHI.GB
Carter Holdings Inc.
12.
ACTION REQUIRED
Deficits in Introduced Accounts
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Executive Representatives
Legal & Compliance
Operations
Clearing Firms
Deficits in Introduced Accounts
Introducing Firms
Executive Summary
NASD is concerned that clearing firms and introducing firms are frequently
Trading Pause Rule Expanded to All NMS Stocks
By Kara Williams and Gargi Sharma
Here is a look back at a few key topics related to anti-money laundering (AML) obligations that rose to the level of being included in FINRA’s 2023 Examination and Risk Monitoring Report. These threats continue to be prevalent today and remain as areas of focus for FINRA’s Complex Investigations and Intelligence (CII) section.
One was manipulative trading in
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Registered Representatives
Training
Executive Summary
On November 10, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Interpretive Memorandum 2830-1 (IM-2830-1) to clarify the application of the mutual
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on January 6, 2004, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members
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) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other
