INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce thenominees for the District Committees and the District Nominating Committees. The individuals
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
LAST DATE FOR COMMENT: NOVEMBER 21, 1985
The NASD's Direct Participation Programs and Real Estate Committees are concerned that abuses exist in the content of advertising and sales literature used for public direct participation programs. The Committees and the NASD's Board of Governors
The guidance provided in these FAQs pertains to the reporting to FINRA of “short” positions pursuant to FINRA Rule 4560 (Short-Interest Reporting) in OTC Equity securities, as defined in Rule 6420, and securities listed on a national securities exchange.
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
(a) Standards for Member Conduct
Except as otherwise provided in this Rule, a member that is a party to a networking arrangement under which the member conducts broker-dealer services on or off the premises of a financial institution is subject to the following requirements:
(1) Setting
A member that conducts broker-dealer services on the premises of a financial institution shall:
(A) be
The Achieving a Better Life Experience (ABLE) Act of 2014 provided Americans with disabilities the opportunity to save in a tax-deferred account as a supplement to their government benefits.
(a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably designed to enable the member to meet its existing obligations to customers. In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-
Buying and selling securities is actually very easy, thanks in large part to technology. It almost seems like you’re doing the buying and selling yourself, but a brokerage firm is. Any time you buy or sell securities you typically must first open a brokerage account.
FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System (Regulation T) and SEA Rule 15c3-3(n) to FINRA for approval.
Notice of Annual Meeting of FINRA Firms and Proxy
