Proposed Rule Change to Amend FINRA's Code of Procedure
Proposed Rule Change to Adopt the Selection Specifications and Study Outline for the Operations Professional (“Series 99”) Examination Program
INFORMATIONAL
Statutory Disqualification
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Eligibility and Qualification Standards
Statutory Disqualification
Rule 9520 Series
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has commenced an initiative to make publicly available the text of statutory disqualification decisions (
INFORMATIONAL
Proxy Reimbursement Rates
Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
IM-2260 Proxy Reimbursement Rates
Executive Summary
NASD has adopted amendments to IM-2260 regarding rates of reimbursement for expenses incurred in forwarding proxy materials, annual reports, information statements, and other
INFORMATIONALTrade Reporting and Compliance Engine (TRACE)SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementIT ManagementDebt SecuritiesTrade Reporting and Compliance Engine (TRACE)Rule 7010(k)Executive SummaryThe TRACE system became effective on July 1, 2002. Since that time the TRACE fee structure has been operating under a pilot program approved by the SEC that
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon.
I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and efficient capital markets. Since joining FINRA a few months ago, I have had good conversations with SIFMA members and staff about a variety of industry issues and I
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Options
Registration
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD requests members to vote on proposed amendments to Article III, Sections 2
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
SEC REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has proposed Rule 15c2-6 to address fraudulent, deceptive, or manipulative acts and practices used in connection with high-pressure telephone
Neutral Corner - Volume 2—2019
Mission Statement
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Removal of Initial Prehearing Conference Order PDF from FINRA's Website
Register for the Portal Today
Portal How-to Videos
Practising Law Institute: Securities Arbitration 2019: September 10, 2019
SEC Rule
