SR-FINRA-2009-022 - Proposed Rule Change Relating to FINRA's Regulatory Notice on the FINRA Rule 9520 Series (Eligibility Proceedings)
SR-FINRA-2009-014 - Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rule Book
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 1999-2000 renewal cycle for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
SR-FINRA-2008-065 - Proposed Rule Change Relating to the Extension of a Pilot Program Under Trade Reporting and Compliance Engine
August 12, 2019FINRA President and CEO Robert Cook was joined by Senior Vice President of Member Relations and Education Chip Jones, Vice President Dave Chapman, as well as Senior Director, CAT Business Operations, FINRA CAT, LLC Paul McKenney, to discuss current progress and reporting obligations for the Consolidated Audit Trail (CAT).Speakers:Robert Cook, FINRA President and Chief Executive
Proposed Rule Change to Adopt FINRA Rule 7640A (Data Products Offered By Nasdaq)
FINRA is advising member firms that the Options Clearing Corporation has issued the June 2024 Options Disclosure Document (ODD). The ODD contains general disclosures on the characteristics and risks of trading standardized options. The June 2024 ODD contains new language to update (i) the list of options markets to include MEMX, LLC and (ii) settlement information to reflect T+1
Application of Customer Account Information and Suitability requirements to member selling one type of security to narrow target audience.
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Executive Representatives
Government Securities
Institutional
Internal Audit
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Municipal
Mutual Fund
Operations
Options
Registration
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Syndicate
Systems
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Training
Executive Summary
Effective upon publication of this Notice, the National Association of Securities
OTCE Equities Notifications
