I’m proud to announce that IDG's Computerworld has named FINRA No. 1 among midsize companies on its 2020 Best Places to Work in IT list. This is our ninth appearance on the annual list, but beyond being No. 1 in our category, this one is particularly special.
Here’s why.
The prevailing theme among the organizations that were recognized this year was a focus on career development and
A member is not an "affiliated member" of an insurance company for purposes of Rule 2820(g)(4)(D) where no control relationship exists between the entities.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective June 1, 1995, the Securities and Exchange Commission (SEC) is adopting Rule 17a-23 and Form 17A-23 under the Securities Exchange Act of 1934. The Rule requires broker/dealers that operate automated trading systems to maintain participant, volume, and transaction
Proposed Rule Change to Create a $100 Fee and Honorarium for Late Cancellation of a Prehearing Conference
Investment planning doesn’t stop once you make an investment. Evaluating the performance of your investments is a critical part of managing—and monitoring—your investment assets over time.
I do not want to sound uneducated or stupid, but I think that there a lot of shady dealings going on in the stock market and I'm afraid that this will effect my portfolio. Please make all short positions be reported. Do we need dark pools? yes! but I wanna see that information too. We all want a free and fair market. I'm not here to be a financial patsy, for crying out loud gas is like
The manipulation in the market is obvious. Details come out every day that point toward market manipulation. Information has been released on previous manipulation that led to the recession in 2008 and it is obvious that no lessons were learned from that crash. Money makers are only concerned with creating enough profit through manipulation to pad themselves during these economic downturns.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on proposed
This notification is to warn member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@rfs-finra.org”.
SR-FINRA-2009-024 - Proposed Rule Change Relating to Trade Reporting Transfers of Proprietary Securities Positions in Connection with Certain Corporate Control Transactions
