FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Special NASD Notice to Members 99-74
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ACTION REQUESTED
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Comment Period Expires: January 11, 2001
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NASD Rule 2320(g)
Executive Summary
NASD Regulation, Inc. (NASD Regulation®) requests comment from members, investors, and other interested parties on a
Executive Summary
The purpose of this Election Notice is to notify FINRA small firm members of the Small Firm Advisory Committee (SFAC) election and the distribution of ballots. Two seats on the SFAC are up for election, one representing the Midwest region and one representing the South region. FINRA small firm members1 in those regions as of the close of business on Friday, October 20, 2023,
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Comment Period Expires: February 3
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NASD Regulation, Inc. (NASD Regulation) requests comment on a new proposed rule, NASD® Rule 2460 (Rule), that would prohibit any payment by an issuer or the issuer's affiliates and promoters, directly or indirectly, to a member for
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Proposed Rule Change Relating to Revisions to the Definition of Non-public Arbitrator
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