INFORMATIONAL
SEC Approves Rule Change to IM-10100
Effective Date: On or After September 30, 2002
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KEY TOPICS
Legal & Compliance
Registered Representatives
Registered Principals
Senior Management
Arbitration
Net Capital
Liquidity Risk Management
Credit Risk Management
Segregation of Assets and Customer Protection
Portfolio Margin and Intraday Trading NEW FOR 2022
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New Series 51 Examination
On September 30, 2002, the Municipal Securities Rulemaking Board (MSRB) filed a proposed rule change with the Securities and Exchange Commission for the MSRB's new Municipal Fund Securities Limited Principal Qualification Examination (Series 51), as well as an amendment to Rule G-3, on professional qualifications. Administration of the new Series 51 examination
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendment would revise, simplify, and add a
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification.
General Information on FINRA’s Eligibility Requirements
Under the FINRA By-Laws, no person shall be admitted to or continued in
Intra-firm account transfers must be conducted in a manner consistent with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.
<p>Application of Rule 2210 to the use of investment projections and marketing material when registered persons are conducting advisory services.</p>
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Suggested Routing
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology Trading and Market Making Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
Currently, NASD
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
