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Interpretive Letter to Craig S. Tyle, Investment Company Institute
Advertising Department's response to recommendations of the Investment Company Institute concerning member use of hyperlinks.
Notice to Members 04-45
REQUEST FOR COMMENT Proposed Rule Governing the Purchase, Sale, or Exchange of Deferred Variable Annuities Comment Period Expired: August 9, 2004 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Affidavits Arbitration Central Registration Depository System (CRD® or CRD system
Regulatory Notice 13-42
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Rule 401T Business Conduct
/01 Trading Against Firm Recommendations Reserved. /02 Private Sales Reserved. /03 Conversions, Acquisitions and Changes in Business Activities Member organizations are expected to notify the Exchange when planning important organizational or operational changes, such as mergers with or acquisitions of other broker/dealers or the acquisition of a significant electronic data processing system
Rule 401 Business Conduct
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule. /01 Trading Against Firm Recommendations Reserved. /02 Private Sales Reserved. /03 Conversions, Acquisitions and Changes in Business Activities Member organizations are expected to notify the Exchange when planning
Frequently Asked Questions about FINRA Rule 2080 (Expungement)
The following questions and answers provide guidance regarding the operation of FINRA Rule 2080, which was formerly NASD Rule 2130.
Regulatory Notice 13-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Broker Dealer Firms We Regulate - Q
Q ADVISORS LLC999 18TH STREET, SUITE 2015, DENVER, CO 80202QATALYST PARTNERS LP3 EMBARCADERO CENTER, SUITE 1500, SAN FRANCISCO, CA 94111QUADRIGA SECURITIES, LLC44 COOK STREET, SUITE 255, DENVER, CO 80206QUANTITATIVE BROKERS, LLC285 MADISON AVENUE, SUITE 1700, NEW YORK, NY 10017QUANTLAB BROKERAGE, LLC3 GREENWAY PLAZA, SUITE 200, HOUSTON, TX 77046QUANTRIVER FINANCIAL, LLC6430 PLANTATION PARK COURT
4524. Supplemental FOCUS Information
As a supplement to filing FOCUS reports required pursuant to SEA Rule 17a-5 and FINRA Rule 2010, each member, as FINRA shall designate, shall file such additional financial or operational schedules or reports as FINRA may deem necessary or appropriate for the protection of investors or in the public interest. The content of such schedules or reports, their format, and the timing and the frequency
Stephen Luparello
Public GovernorRetiredGovernor Since 2025Professional ExperiencePrincipal, Gaillard Group LLC (2022 – Present)Managing Director and General Counsel, Citadel Securities (2017 – 2022)Director, Division of Trading & Markets, U.S. Securities and Exchange Commission (SEC) (2014 – 2017)Partner, WilmerHale (2012—2014)Financial Industry Regulatory Authority (FINRA) (1996 – 2012)Vice