Permissibility of electronic signatures in place of manual signatures for principal approval of new customer accounts.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") Notice to Members ("NTM") 06-03, which provides guidance regarding the application of new Rule 2111 prohibiting members from trading ahead of customer market orders under certain circumstances.
BrokerCheck, a free online database provided by FINRA, provides a wealth of background information about brokers to help make that decision easier.
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
SEC Approves Amendments to FINRA Rule 4570
.floating-examboxBorder {
display: inline-block;
width: 100%;
margin: 10px;
padding: 10px;
background-color: #f2f2f2;
border: 1px solid #d3d2d2;
font-size:.75em;
}
As discussed in the 2017 Report on FINRA Examination Findings, FINRA has observed firms that receive, handle, route or execute customer orders encountering challenges with meeting their duty of best execution in
2017 Annual FINRA Election Cycle and Procedures Overview
FINRA (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to delete in their entirety the NASD Rule 4000D, 6000D and 7000D Series and the Limited Liability Company Agreement of The NASD/BSE Trade Reporting Facility LLC (the "NASD/BSE TRF LLC
FINRA Announces SFAB, NAC and District Committee Election Results and Appointments
The FINRA Board of Governors will consider the following rulemaking item at its September 2014 meeting. After the September 19 meeting, FINRA will notify firms via email about the Board’s actions on this item and anticipated next steps, if any.
Equity Trading Initiatives
ATS Order Book Information
The Board will consider a proposal to require alternative trading systems (ATSs) to provide FINRA
