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Regulatory Notice 11-32
FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530
Regulatory Notice 11-26
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
Election Notice - 10/19/11
Notice of FINRA District Committee Election and Ballots
Regulatory Notice 21-23
SummaryFINRA is issuing this Notice to remind member firms of longstanding Securities and Exchange Commission (SEC) and FINRA rules and guidance concerning best execution and payment for order flow, which the SEC has defined very broadly to refer to a wide range of practices including monetary payments and discounts, rebates, or other fee reductions or credits. Under these rules and guidance,
Testimony Before the Committee on Banking, Housing and Urban Affairs
In December of 2002, the Securities and Exchange Commission (SEC), New York Attorney General, the North American Securities Administrators Association (NASAA), the New York Stock Exchange (NYSE), and NASD reached an agreement in principle with ten of the nation's largest investment banks to resolve issues of conflicts of interest involving research analysis and initial public offerings (IPOs).
Regulatory Notice 15-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Regulatory Notice 13-01
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Notice To Members 91-82
SUGGESTED ROUTING:* Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD, on the recommendation of its Legal Advisory Board (LAB), has undertaken a reorganization of the NASD Manual in order to make the Manual easier to use. As a first step in the Manual revision project, the LAB proposed an
Notice To Members 89-65
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
Notice To Members 88-90
SUGGESTED ROUTING* Senior Management Legal & Compliance Registration Training *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests comments on the following: A proposed amendment to