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Regulatory Fee
Comment Period Expires: February 28, 2002
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NASD By-Laws
Regulatory Fees
Executive Summary
The National Association
As prepared for delivery.
I would like to discuss with you today the important question of the appropriate standard of care for brokers and dealers or, more directly, whether the time has come to require broker-dealers, when recommending a security or strategy to retail investors, to ensure that the recommendation is in the “best interest” of the investor.
A “best interest” or “fiduciary”
(a) The Financial Industry Regulatory Authority, Inc. delegates to its subsidiaries, FINRA Regulation, Inc. and FINRA CAT, LLC (hereinafter "Subsidiaries"), the authority to act on behalf of FINRA as set forth in a Plan of Allocation and Delegation adopted by the Board of Governors and approved by the SEC pursuant to its authority under the
Disclaimer for investor tools and calculators
Executive Summary
As of February 22, 96, the following 87 issues joined the Nasdaq National Market®, bringing the total number of issues to 4,023:
Symbol
Company
Entry Date
Level
DHSM
Diagnostic Health Services, Inc.
1/22/96
500
DHSMW
The Best Execution Outside-of-the-Inside (BE) report card is a monthly status report detailing the number of transactions reported to a FINRA Facility (i.e., a FINRA Trade Reporting Facility or FINRA's Alternative Display Facility) in which your firm participated that were executed Outside-of-the-Inside market in apparent violation of the Best Execution Rule. If non-compliance with the Best
FINRA Requests Comment on Concept Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
(a) Applicability of Rule
This rule applies to arbitrations involving $50,000 or less, exclusive of interest and expenses. Except as otherwise provided in this Rule, all provisions of the Code apply to such arbitrations.
(b) Single Arbitrator
All arbitrations administered under this Rule will be decided by a single arbitrator appointed from the FINRA chairperson roster in accordance with the
SEC Approves Consolidated Front Running Rule
New members have been appointed to the Board of Directors of the non-profit FINRA Investor Education Foundation (FINRA Foundation), and Jonathan Sokobin has been named Chair, effective February 12, 2024.
