SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments, effective March 8, 1994, to remove the member vote requirement for adoption of, or amendment to, the Rules of Fair Practice, to incorporate Appendices A, B, C, E, and F into Sections 30 through 34 of the Rules of Fair Practice, and to
GUIDANCE
Trade Shredding
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Trading
Market Orders
Rule 3380
Trade Shredding
Executive Summary
On February 24, 2006, the Securities and Exchange Commission
(SEC) approved new Rule 3380, Order Entry and Execution Practices,
which prohibits conduct known as "trade shredding."1 Specifically,
under
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") recently issued Release No. 34-29093 proposing for public comment the so-called "Penny Stock Disclosure Rules" to implement
Summary
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2021; and
a summary of how eligible
GUIDANCEAdvertising FeesImplementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementAdvertising Regulation DepartmentAdvertising Review ChargesRule 2210 and InterpretationsSchedule A to the NASD By-Laws Executive SummaryNASD has filed for immediate effectiveness amendments to Section 13 of Schedule
SUGGESTED ROUTING*
Legal & ComplianceOperationOptionsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved two additions to the NASD's qualification and registration programs. The two new tests, which will be available for member use beginning January 2,
(a) Requests for Accelerated Processing(1) A party may request accelerated processing of a case when initiating an arbitration pursuant to Rule 12302 or filing an answer pursuant to Rule 12303, provided that the party making the request:(A) is at least 70 years of age at the time of the request; or(B) certifies, in the manner and form required by the Director, that: (i) the party has received a
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.
FINRA’s Corporate Financing Department protects investors and promotes vibrant and efficient capital markets by reviewing the capital-raising activities of FINRA member firms and assisting them in complying with FINRA rules and federal securities laws
Background
Until mid-2017, FINRA maintained two distinct enforcement teams within the organization—one handling disciplinary actions related to trading-based matters found through our market surveillance and trading examination programs, and the other handling cases referred from other regulatory oversight divisions within FINRA, such as sales practice examinations and our Office of Fraud
