Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
Arbitrators are the triers of fact in FINRA arbitrations and they have great authority and wide latitude to decide matters as they see fit. Arbitrators must be, and appear to be, ethical, unbiased and neutral. In this section, you will find the resources and guidelines to achieve these goals.On This PageCode of Ethics for ArbitratorsDisclosure RequirementsDisqualification Criteria10 Best
Regulatory Obligations
FINRA Rule 2090 (Know Your Customer) requires member firms and their associated persons to use reasonable diligence to determine the “essential facts” about every customer and “the authority of each person acting on behalf of such customer.” Regulatory Notice 11-02 (SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations) advised that
This intensive five-day course takes place at Georgetown University's McDonough School of Business in Washington, DC. Taught by Georgetown University business and law school professors, industry professionals, and regulators, this foundational course leverages case studies and interactive discussions to arm participants with a broad understanding of the financial services industry and financial regulations.
FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date
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In conjunction with the UTP Operating Committee (UTPOC) and Consolidated Tape Authority (CTA), FINRA will begin disseminating odd lot transactions via the Trade Data Dissemination Service (TDDS) on or about October 7, 2013.
Executive Summary
On May 17, 2002, the Securities and Exchange Commission (SEC) approved a rule change requiring members to obtain a signed Subordination Agreement Investor Disclosure Document (Disclosure Document) from each investor before entering into a subordination agreement with that investor.
The Disclosure Document requirement, the text of which is provided in Attachment A, becomes
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
