NASD has filed with the SEC a proposed rule change to amend the pilot rule in IM-10100(f) and (g) of the Code of Arbitration Procedure.
The NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc., has filed with the SEC a proposed rule change to amend Rule 10333 of the Code of Arbitration Procedure to raise member surcharges, and hearing and prehearing process fees paid by members.
If you own crypto assets, or are considering doing so, it’s valuable to have at least a basic understanding of blockchain, the technology protocol that powers most cryptocurrencies, including bitcoin and ethereum. Blockchain uses computer code to create, maintain and update information shared by blockchain participants.
Amendments to NASD Rule 3210 to Conform with Amendments to the SEC's Regulation SHO Delivery Requirements
Remarks From the National Compliance Outreach Program for Broker-Dealers
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
A positive cash flow—net income that exceeds expenses—gives you room to save and invest. Learn how to calculate your cash flow.
Remarks from the Investment Program Association Fall Conference
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to the Sale of Securities in a High Yield Environment
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
