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Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.
Renumbered from Rule 7270C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008
ACTION REQUIRED
Electronic Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Electronic Filing Requirements
NASD Rule 3170
NASD Advises Firms That Certain Notices Required
under the Securities Exchange Act of 1934 Must Be Filed
Electronically Starting on January 1, 2007
Executive Summary
The Securities and Exchange Commission (
Regulatory Obligations and Related Considerations
Regulatory Obligations
Under the financial responsibility rules, and related supervisory obligations, firms need to properly capture, measure, aggregate, manage and report credit risk, including risk exposures that may not be readily apparent. Such responsibility can be incurred under clearing arrangements, prime brokerage arrangements (
Application for Exemptive Relief from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System
(a) Making Other Discovery Requests
(1) Parties may also request additional documents or information from any party by serving a written request on the party. Requests for information are generally limited to identification of individuals, entities, and time periods related to the dispute; such requests should be reasonable in number and not require narrative answers or fact finding.
(a) Applicability of Document Production Lists
The Director will notify parties of the location of the FINRA Discovery Guide and Document Production Lists on FINRA's Web site, but will provide a copy to the parties upon request. Document Production Lists 1 and 2 describe the documents that are presumed to be discoverable in all arbitrations between a customer and a member or
GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance MeetingsRule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7) to require that
SEC's COVID-19 Response page
https://www.sec.gov/sec-coronavirus-covid-19-response
606 Relief
https://www.sec.gov/rules/exorders/2020/34-88478.pdf
Frequently Asked Questions Concerning the COVID-19 Pandemic and the Broker-Dealer Financial Responsibility Rules
https://www.sec.gov/tm/faq-covid-19-broker-dealer-financial-responsibility-rules
Reg S-T Relief to Allow for Electronic
Please explain to us why 50-70% of all retail transactions are going through the dark pools for AMC and GME every single day. As new investors we would like to understand how the blatant price manipulation, and lack of price discovery is considered legal by FINRA and other the other regulatory bodies. From what I have read this was not what the intended use of dark pools was for. I believe if
Thank you so much Lori for that kind introduction, and thank you, Mr. Chairman, for hosting this important program. I am thrilled to be here. And I want to add my welcome to Lori's and Chairman Cox's.