Proposed Rule Change to Adopt FINRA Rule 2241 (Research Analysts and Research Reports) in the Consolidated FINRA Rulebook
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to incorporate certain rules of New York Stock Exchange LLC (“NYSE”) relating to the regulation of member firm conduct (the “Incorporated NYSE Rules”). The Incorporated NYSE Rules will apply solely to members of the Financial Industry Regulatory Authority, Inc. (“FINRA”) that also are members
FINRA/Nasdaq TRFSchedule D - OfficersChuck Mack, PresidentErika Moore, SecretaryDana Laidhold, TreasurerMarc Samuel, Assistant Treasurer Tushar Mehta, Assistant TreasurerAmy Kohn, Vice PresidentSchedule E - DirectorsChris StoneChuck MackJohn ZeccaFINRA/NYSE TRFSchedule D - OfficersDoug Foley, Senior Vice President, HR & AdministrationWarren Gardiner, Senior Vice
It’s important to keep your guard up and educate yourself about the red flags of fraud and how to protect yourself. Learning to recognize scammers’ techniques can be your best defense.
Proposed Rule Change to Update Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and Amend Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
Proposed Rule Change Relating to Exemption from Reporting Obligation under Equity Trade Reporting Rules for Certain Alternative Trading Systems
Registration Code Classifications
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Extend the Pilot Period of Amendments to FINRA Rule 11892 Governing Clearly Erroneous Transactions
Proposed Rule Change to Update the FINRA Manual to Reflect FINRA’s New Subsidiary, FINRA CAT, LLC
