If you are of a certain generation, you probably remember watching the Schoolhouse Rock! videos and can still remember the words to “Lolly, Lolly, Lolly, Get Your Adverbs Here.” My favorite was “I’m Just a Bill,” because in just over three minutes, it explained the entire legislative process in easy to understand terms. Since becoming Head of FINRA Enforcement, it has become clear to me that,
Reporting of Corporate and Agencies Debt Frequently Asked Questions (FAQ)
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On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD® Rule 2350, which specifies requirements applicable to broker/
In addition to checking and savings accounts, your local bank may offer you investment accounts that you can use to save for college or retirement, insurance coverage for your home or your life, or annuities to help you generate retirement income.
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As with any new technology, quantum computing brings with it both opportunities as well as risks. Quantum computing may have a profound impact on the securities industry, whether for larger and more well-resourced firms seeking to leverage quantum advantage or for firms of all sizes preparing to defend against attacks on present-day cryptography. In this context, market participants must consider
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On February 26, 2003, NASD filed with the Securities and Exchange Commission
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As of December 12, 1990, the following six issues joined Nasdaq/NMS, bringing the total number of issues to 2,587:
Symbol
Company
Entry Date
SOES Execution Level
CBEX
Cambex Corporation
11/20/90
1000
DEPLF
Deprenyl Research Limited
11/20/
(a) In response to a written inquiry, electronic inquiry, or telephonic inquiry via a toll-free telephone listing, FINRA shall release through FINRA BrokerCheck information regarding:(1) a current or former FINRA member or a current or former member of a registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes ("CRD
