Proposed Rule Change to Amend NASD Rule 2711 to Conform with the Requirements of the Jumpstart Our Business Startups Act and Related Changes
Proposed Rule Change to Amend FINRA's Customer and Industry Codes Of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct Appearances of Associated Person Witnesses and Production Of Documents Without Subpoenas
As prepared for delivery
Thank you, Drew [Bowden] for that introduction, and thanks also to IRI for the invitation to speak here today. It’s my pleasure to update you on what we are doing and thinking about at FINRA.
I don’t need to tell anyone in this room how rapidly the legislative and regulatory environment is changing and evolving. We are all seeing it and living it every day. But, many of
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Proposed Rule Change to Extend a TRACE Pilot Program
Proposed Rule Change to Amend the Implementation Provision in FINRA Rule 1230(b)(6) (Operations Professional)
April 1999
How Broker/Dealers Can Address Customer Concerns About The Year 2000
Investors are aware of the potential problems caused by the coming century change. As a result, they may consider changing their investing habits and strategies leading to more frequent questioning of their brokerage firms about the Year 2000 issue.
Leading up to the new year, it is important that broker/dealers
Proposed Rule Change to Extend a TRACE Pilot Program
What's New In E-Bill?April 2024E-Bill is now integrated into FINRA Gateway. FINRA's financial system enables entitled users to view financial details, submit payment to firm accounts and invoices, and create transaction reports. Users can access the new E-Bill experience by logging in to FINRA Gateway or navigating through other systems (for example, FPRD).For more information, please
Proposed Rule Change to Amend FINRA Rule 6121 (Trading Halts Due to Extraordinary Market Volatility) and FINRA Rule 6272 (Character of Quotations) to Include all NMS Stocks
