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Did you receive an unexpected check in the mail and think, “Great! Free money?” Not so fast. Cashing that unexpected “windfall” may result in losses, reveal your personal financial information to scammers, or both.
FINRA Announces Amendments to Make Permanent the Portfolio Margin Pilot Program
INFORMATIONAL
Debt Securities
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Rule 2260
IM-2260
Debt Securities
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Forwarding of Communications
Executive Summary
On April 11, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 22601 that require a broker/dealer to make reasonable
In connection with the Mutual Fund Waiver Sweep and pursuant to FINRA Rule 8210, FINRA requests that the Firm provide the following documents and information to FINRA staff on or before June 10, 2016 regarding the above referenced Sweep.
TO: All NASD Members
The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985.
However, on August 17, 1984, with the full
Frequently asked questions about public offerings
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Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which
Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31 and conducted the mediation by December 31.The SavingsFINRA participating mediators will offer the following rates for mediation sessions, to be
