FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
Proposed Rule Change to Adopt Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules
The Series 24 exam — the General Securities Principal Qualification Exam (GP) — assesses the competency of an entry-level principal to perform their job as a principal dependent on their corequisite registrations.
• Corporate Financing Rule—Failure to Comply With Rule Requirements
• Engaging in Prohibited Municipal Securities Business
• Escrow Violations—Prohibited Representations in Contingency Offerings; Transmission or Maintenance of Customer Funds in Underwritings
• Restrictions on the Purchase and Sale of
The Neutral Corner Volume 3 - 2016
Mission Statement
Bates Numbering: A Best Practice by Gregory Curley and Glenn S. Gitomer
Attorneys Serving as Arbitrators: A Cautionary Tale About Disclosure by Rushelle Bailey, FINRA Corporate Intern
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Robert W. Cook Named FINRA’s President and
You should be aware that certain types of conduct in the securities industry are prohibited.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
IM-5100
IM-6130
Rule 3360
Rule 4632
Rule 5100
Rule 6130
Rule 9610
Short Exempt Marking Requirements
Short Sales
TRF Trade Reporting
Short Sale Requirements
Executive Summary
NASD is issuing this Notice to advise firms and other
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
