FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
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As announced in NASDAQ Head Trader Alert #2007-205, NASDAQ OMX has entered into an agreement to acquire the Boston Stock Exchange and related assets, which includes a second self regulatory organization ("SRO") license. Following SEC approval, NASDAQ OMX intends to use this SRO license to operate a second quote in U.S. equity securities called NASDAQ BX.
As recently announced, NASDAQ OMX PSX (PSX) is a new equity trading platform scheduled to launch in the second quarter of 2010, pending Securities and Exchange Commission (SEC) approval.
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceRegistrationSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 4, 1992, the Securities and Exchange Commission (SEC) approved amendments to Parts II and III of Schedule C to the NASD's By-Laws permitting Direct Participation Program (DPP) Limited Principals and
Remarks by Richard Ketchum From the 2014 FINRA Annual Conference
SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
Under Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), and Exchange Rule 17 f-2 thereunder, as amended, firms may be required to submit additional fingerprints if fingerprints are determined to be that the prior submission(s) are illegible or classified as rejected. The process for submitting additional fingerprints differs for broker-dealers and funding
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(a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade through its trading facilities and that consists of stocks whose inclusion and relative
