FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
<p>NASD Rule 1020 Series - Registration of Principals</p>
Representations under Rules 5130 and 5131 may be obtained electronically through a mobile application, provided that the method for obtaining representations complies with SEC and FINRA guidance regarding the use of electronic communications, and the representations satisfy the requirements set forth in Rules 5130 and 5131.
December 11, 2017
Lawrence Cohen
Of Counsel
Gordon Rees Scully
In the Showtime television series “Billions,” the ambitious U.S. attorney Chuck Rhoades, played by Paul Giamatti, is certain that a fictional hedge fund manager Bobby Axelrod, played by actor Damien Lewis, is guilty of insider trading.
“What have I done wrong? Really? Except make money. Succeed,” Axelrod says in his defense in an episode.
There isn’t a clear hero and villain in the television
Summary
FINRA is issuing this Regulatory Notice as part of its continuing efforts to provide members with guidance on requirements relating to the Consolidated Audit Trail (CAT), and FINRA Rule 6800 Series (the “CAT Rules”). In particular, FINRA is reminding members of their supervisory responsibilities under the CAT Rules and FINRA’s Supervision Rule (Rule 3110). Members may wish to consider
<p>A partnership registering as a broker/dealer, which will be trading only for its own account, has no customers for purposes of Rule 2330(f).</p>
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of July 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACCC.GA
Advanced Accessory Corp
9.750
10/01/07
ACF.GB
Amercredit Corp
9.250
02/01/04
ACHD.GA
Amscan
November 2012 Supplement to the Options Disclosure Document
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
