(a) Any person who proposes to form a member organization and any member organization which proposes to admit therein any approved person shall notify the Exchange in writing before any such formation or admission and shall submit such information as may be required by the Rules of the Exchange. No such member organization shall become or remain a member organization unless all persons required
FINRA publishes information about the Order Audit Trail System (OATS) on a regular basis via an online newsletter titled The OATS Report.
Guidance on Donations Due to Federally Declared Major DisastersQ: Would it be consistent with FINRA Rule 3220 (Influencing or Rewarding Employees of Others) for a member or an associated person to donate goods or money (either directly or through a fundraising platform) to employees of an institutional customer for losses sustained due to a federally declared major disaster? NEWA:&
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Annual Continuing Education RequirementEffective Jan. 1, 2023, all FSAWP-eligible individuals are required to complete Continuing Education (CE) Regulatory Element annually by Dec. 31 for each remaining year of their FSAWP eligibility.FINRA Rule 1210.09 established a waiver program for eligible individuals who left a member firm to work for a foreign or domestic financial services affiliate of a
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOptions*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Rules of Fair Practice creating a separate section relating to options communications with the public. The
Summary
FINRA requests comment on a proposal to expand TRACE reporting requirements to collect information on trades in foreign sovereign debt securities that are U.S. dollar-denominated. Issuance activity in these debt securities has accelerated in recent years and FINRA believes the proposal would provide important regulatory information on an increasingly active segment of the market. Under
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendments would revise, simplify, and add a recordkeeping requirement
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Healthcare of Ontario Pension Plan Trust Fund.
