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).
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Public Arbitrator
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).
Application of Customer Account Information and Suitability requirements to member selling one type of security to narrow target audience.
What should your firm do after it discovers that customers’ accounts have been compromised?
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
Provided are URLs (Internet addresses) to access Web CRD and the Web CRD site for Registered Representatives.
GUIDANCE
Examination Fees
Implemention Date: January 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Examination Fees
Qualification Examinations
Registration
Schedule A to the NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness
INFORMATIONAL
2007 Trade Date—Settlement Date Schedule
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Municipal/Government Securities
Operations
Trading and Market Making
Holiday Trade Date—Settlement
Date Schedule
Martin Luther King, Jr., Day:
The NASDAQ Stock Market® and the securities exchanges will be closed on
INFORMATIONAL
Limit Order Protection
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Trading & Market Making
Limit Order Protection
OTCBB
Executive Summary
On February 8, 2001, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD®) Rule 6541 (Rule), which, on a pilot
