Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust one of the thresholds required to qualify for the Media/Contra fee cap under FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees).
Proposed Rule Change to Clarify the Classification and Reporting of Certain Securities to FINRA
Proposed Rule Change to Adopt the Capital Acquisition Broker Rules
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 25, 1988, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above member.
Members may use the "immediate close out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts.
Questions
Proposed Rule Change to Extend the Effective Date of SR-FINRA-2016-028
Proposed Rule Change to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On March 21, 1988, the United States District Court for the Eastern District of Wisconsin appointed a SIPC Trustee for the above member.
Members may use the "immediate close out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts.
Questions
Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt FINRA Rule 6191 and amend Rule 7440 to implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Plan).
