Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the North region and one representing the West region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on
Chairman Clayton, Commissioners, and Members of the Committee, thank you for inviting me to appear before you today to discuss the important issue of customer recovery in the financial services industry, including the issue of unpaid arbitration awards. For purposes of today’s discussion, my remarks are focused on unpaid awards in customer arbitration cases.
FINRA is fully committed to reducing
SEC Approval and Effective Date for New Consolidated FINRA Rules Regarding Margin Requirements, Daily Record of Required Margin, and Extension of Time Requests
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 10, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article VII, Section l(a) of the NASD By-Laws that would authorize the NASD Board of Governors to require members conducting an interdealer OTC business to report trade data.
The text of the amendment is
INFORMATIONAL
Disclosure Of Order Routing
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Exchange Act Rule 11Ac1-6
Disclosure of Order Routing
Executive Summary
Rule 11Ac1-6 under the Securities Exchange Act of 1934 (Exchange Act) requires all broker/dealers that route customer orders in equity and option
The Audit & Risk Committee (Committee) is a standing committee of the FINRA Board of Governors (Board). This Charter and the FINRA Governance Guidelines govern the operations of this Committee.
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
A spinoff occurs when a corporation divests itself of a division, which becomes an independent company that trades separately from its parent. Learn why corporations spin off subsidiaries and what this means for investors.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Trading
Executive Summary
On July 3, 1997, in Release No. 34-38812 (SEC Release), the Securities and Exchange Commission (SEC) approved new NASD® Rule 2460 (Rule), which explicitly prohibits any payment by issuers or
