SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Summary
FINRA is soliciting comment on a proposal to amend FINRA Uniform Practice Code Rule 11880 (Settlement of Syndicate Accounts). The proposed amendments would reduce the maximum time for the final settlement of syndicate accounts in a public offering of corporate debt securities from 90 days to 30 days following the syndicate settlement date.
Questions concerning this Notice should be
Visualize yourself as one of our 3,600 smart, dedicated and passionate employees – what do you see? Watch the videos below to hear employees from New York to Denver (and more) discuss what it’s like to work at FINRA, and how each of them contributes to our mission of facilitating investor protection and market integrity.
Listen to Brooke, a manager of FINRA’s Securities Helpline for Seniors
Regulatory Obligations and Related Considerations
Regulatory Obligations
Reg BI establishes a “best interest” standard of conduct for broker-dealers and associated persons when they make a recommendation to retail customers of any securities transaction or investment strategy involving securities, including recommendations of types of accounts.
Broker-dealers are also required to provide a
FINRA’s Risk Monitoring and Examination Programs evaluate member firms for compliance with relevant obligations and consider specific risks relating to each firm, including those relating to a firm’s business model, supervisory control system and prior exam findings, among other considerations. While the topics addressed in this Report are selected for their interest to the largest number of
As a not-for-profit, self-regulatory organization (SRO) with an 85-year history, FINRA pursues its mission of promoting investor protection and ensuring market integrity in many ways
Fast Account Switching allows individuals with multiple firm entitlement accounts to quickly switch between these accounts without re-entering their password. This Fast Account Switching capability saves time for the numerous individuals who work on behalf of more than one organization.
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.
Wednesday, November 9
12:00 p.m. – 5:30 p.m.
Registration
2:00 p.m. – 2:05 p.m.
Welcome Remarks
2:05 p.m. – 2:45 p.m.
Fireside Chat With FINRA President and CEO
To-Be-Announced (TBA) security data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.
Data field
Definition
Why we share this data
Coupon Rate
A coupon rate is the annual interest
