On-Demand Recording: Phone-In Workshop | Original Program Date: June 8, 2017
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
The term "security" or "securities" shall have the meaning given those terms in the Securities Exchange Act of 1934, as amended, and the General Rules and Regulations thereunder.
Amended:
Many consumers have shifted their banking and investment transactions to the time-saving apps on their phones. But along with convenience, a reliance on mobile devices has attracted scammers looking to steal information and assets. A growing type of fraud exploiting mobile phone usage is known as SIM swapping.
The Rules shall become effective as provided in Article XI, Section 1, of the FINRA By-Laws.
Amended by SR-FINRA-2008-026 eff. Dec. 15, 2008.
Amended by SR-NASD-98-86 eff. Nov. 19, 1998.
When investing in your 401(k) or other retirement savings account, target-date funds, also known as life-cycle funds, are one popular option. You pick a fund that is dated around when you plan to retire, and that fund promises to rebalance as you approach that date.
(a) No member or person associated with a member shall cause to be executed an order to buy or sell a security or a related financial instrument when such member or person associated with a member causing such order to be executed has material, non-public market information concerning an imminent block transaction in that security, a related financial instrument or a security underlying the
(a) Parties to an arbitration may agree to settle their dispute at any time. Parties who settle must file notice with the Director. The Director will continue to administer the arbitration, and fees may continue to accrue, until the Director receives written notice of the settlement. The parties do not need to disclose the terms of the settlement agreement to the Director or to FINRA Dispute
(a) Parties to an arbitration may agree to settle their dispute at any time. Parties who settle must file notice with the Director. The Director will continue to administer the arbitration, and fees may continue to accrue, until the Director receives written notice of the settlement. The parties do not need to disclose the terms of the settlement agreement to the Director or to FINRA Dispute
Stay ahead of industry regulations. Find the most recently approved rule changes and their pending effectives dates. Ensure compliance and stay informed.
Module 2: Futures Contracts is intended primarily for securities professionals as an introduction to the basic concepts and terminology of futures. In general, FINRA will require that members administer the content of Module 2 to securities registrants, although firms employing dually-licensed persons (i.e., persons registered with a broker/dealer and an futures commission merchant or introducing broker), may not need to administer Module 2 to such persons.
