SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Registration
Training
Executive Summary
On February 13, 1995, in SEC Release No. 34–35361, File No. SR-NASD-94–51, the Securities and Exchange Commission (SEC) approved amendments to Parts VI and X of Schedule C of the NASD By-Laws relating to foreign finders and foreign associates. These
The Cybersecurity and Technology Governance 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.
The Global Settlement followed joint investigations by the regulators into alleged conflicts of interest between investment banking and securities research at brokerage firms.
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 5100
Short Sales
Executive Summary
On October 2, 2006, the Securities and Exchange Commission
(SEC) approved an exemption to NASD Rule 5100 (Short Sale Rule)
for securities included in the NASDAQ-100
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundSyndicate
Executive Summary
On February 24, 1994, the Securities and Exchange Commission (SEC) approved an amendment to Article III, Section 26(d)(4) of the Rules of Fair Practice exempting money market mutual funds with asset-based sales charges equal to or less than 25 basis points from disclosing that "long-
Proposed Rule Change to Adopt NASD Rule 2212 (Telemarketing) as FINRA Rule 3230 in the Consolidated FINRA Rulebook
Proposed Rule Change to Allow FINRA Members to Use the OTC Reporting Facility to Transfer Transaction Fees Charged by One Member to Another Member
Summary
In consultation with the U.S. Department of the Treasury (Treasury Department), FINRA is soliciting comment on potential enhancements to the information reported to FINRA’s TRACE facility regarding transactions in U.S. Treasury securities. Specifically, FINRA is seeking comment on potential changes to TRACE reporting for U.S. Treasury securities that would require: (1) more granular
Proposed Rule Change to Amend the FINRA Rule 9550 Series (Expedited Proceedings)
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On January 1, 1991, amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules"), which require NASD members to make reasonable efforts to obtain
