SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Trading
Executive Summary
New uniform provisions regarding the automated reporting requirement for Positions Hedging Stock Options will become effective on December 31, 1997.
New uniform provisions regarding the
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
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).
The Reg BI and Form CRS section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
FINRA provides extensive resources to assist member firms with managing and addressing risks and threats that could pose harm to their business, compliance programs and investors, including:Highlights on the recent risks FINRA observed in our regulatory programs;Observations from recent targeted exams (sweeps) on emerging industry issues and related regulatory obligations; andOther FINRA
On This PageForm U4 Explanation of TermsForm U5 Explanation of TermsForms BD & BDW Explanation of TermsForm BR Explanation of TermsForm U4 Explanation of TermsThe following definitions apply to terms that are italicized in Form U4:AffiliatedMeans under common ownership or control.Affiliated FirmMeans a broker-dealer under common ownership or control with the filing firm.ApplicantMeans the
SUGGESTED ROUTING*
Senior Management Corporate Finance SyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to the NASD's request, the Securities and Exchange Commission (SEC) has adopted Rule 10b-21 to prohibit persons from purchasing securities out of a public offering to cover short sales executed after the
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of "new issues" by the Novartis Pension Funds.
