FINRA and ISG Enhance Electronic Blue Sheet Submissions
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,
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Notice of SFAB Election and Ballots
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
Notice of FINRA Small Firm Advisory Board Election and Ballots
Notice of SFAB Election and Ballots
Pending SEC approval, Investors' Exchange LLC will be operating as the stock exchange, Investors Exchange.
