SEC Approves Access to Historic TRACE Data and Related Fees
ACTION REQUESTED BY OCTOBER 29, 1999
Comment Period Expires October 29, 1999
Advertising Regulation
NASD Regulation Requests Comment on Proposed Amendments to Provisions Governing Communications with the Public; Comment Period Expires October 29, 1999
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Internal Audit
Legal & Compliance
Mutual Fund
Registered
I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today on the important issues of how markets and trading have evolved, and how we can enhance the information regulators receive to ensure market integrity and the protection of investors.
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
FINRA is warning member firms of a new imposter website www.finnra.org (please notice the extra “n” in the domain name).
One portion of the website contains a link to a registration site that is not legitimate (see images, below).
In addition, it is possible bad actors could leverage the domain to send fake emails including those with imbedded phishing links or attachments containing malware.
Remarks From the Consumer Federation of America Consumer Assembly
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one small firm seat on the National Adjudicatory Council (NAC). Eligible individuals who obtain the requisite number of valid petitions may be included as candidates on the ballot by following the petition procedures described in this Election Notice.
A formal notice of the NAC election and ballot
The market has officially become a criminal enterprise; One that you've left completely unchecked, and penalized with fines that are relative pocket-change to MMs, BDs, etc., which are pure window dressing. If you actually care to fix this, you can start by honoring the spirit of the free market with real transparency: - Short positions reported in real time. If 3rd party services are
