Increased Margin Requirements for Leveraged Exchange-Traded Funds and Associated Uncovered Options
FINRA Announces Elimination of OTC Bulletin Board Historical Research Reports; Fees for ORF Trade Reporting and Data
SEC Approves Amendments to FINRA’s Code of Procedure
Upcoming Election to Fill FINRA District Committee Vacancies
Upcoming Election to Fill FINRA District Committee Vacancies
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official 9as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
SEC Approves Amendments to Rule 8210
FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
<p>Direct payments of securities-based compensation by a member to the associated persons of another member are not permitted under NASD Rules 2820(g) and 2830(l) absent an SEC No-action letter or interpretive release. Further, proposed arrangement may require dual registration of associated persons.</p>
