SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceResearch
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved amendments to Article III, Section 24(b)(2) of the NASD Rules of Fair Practice and the Board of Governors' Interpretation thereunder that conform the definition of "bona fide research" to
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0 – 5 Plus Reports Received
6 – 25 Plus Reports Received
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$60
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$100
ADF Data Delivery SFTP
This notification warns member firms of an ongoing phishing campaign that began on or around Oct. 9 that involves fraudulent emails purporting to be from FINRA executives, in some instances containing a PDF attachment. These emails are not from FINRA, and firms should delete them and consider blocking their domains.
Conflicts of interest can arise in any relationship where a duty of care or trust exists between two or more parties, and, as a result, are widespread across the financial services industry. While the existence of a conflict does not, per se, imply that harm to one party’s interests will occur, the history of finance is replete with examples of situations where financial institutions did not
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Table of Contents
14100. Definitions
14101. Applicability of
A Trade Reporting Facility Participant shall make such reports to FINRA as may be prescribed from time to time by FINRA.
Renumbered from Rule 6340C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2007-011 eff. April 18, 2007.Selected Notice: 08-57.
All transactions except "cash" transactions in stocks, bonds or similar evidences of indebtedness shall be "ex" liquidating payments or payments on account of principal in accordance with the formula set forth in Rules 11140 and 11150.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
Amended by SR-NASD-91-13 eff. Nov. 1, 1991.Selected Notices: 91-63, 10-49.
All rulings and determinations of the panel must be made by a majority of the arbitrators, unless the parties agree, or the Code or applicable law provides, otherwise.
Amended by SR-FINRA-2010-053 eff. Feb. 1, 2011.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notices: 07-07, 08-57, 11-05.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On March 22, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D, and Schedule G, to the By-Laws and to the Rules of Practice and Procedure for the Automated Confirmation Transaction (ACT) service rules to require members to input the time of execution on
Recently, FINRA's Market Regulation and Transparency Services (MRTS) team realigned its structure around specific functions, rather than around specific rules or products. On this episode, we hear from three of the group's senior leaders to learn how the change allows MRTS to be more nimble in addressing and anticipating risks, to better leverage its data and more.
