Summary
FINRA requests comment on a proposal to expand the alternative trading system (ATS) volume data that it publishes on its website to include information on transactions in corporate bonds and agency debt securities that occur within an ATS and are reported to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Questions concerning this Notice should be directed to:
Chris Stone,
The Issue Management System allows firms to comply with FINRA Rules 6760 (Underwriter Obligation to Provide Notice), 6730 (Transaction Reporting), or 6620 (OTCE Symbol Request; it allows firms to:submit new issues;save draft submissions;make changes and updates to previously submitted issues;submit new issues in bulk via a file upload; andview the status of submissions.AccessPlease consult your
In conjunction with World Investor Week 2024, the SEC’s Office of Investor Education and Advocacy (OIEA), FINRA and other industry regulators are issuing this Investor Bulletin to provide investors with information about the ways in which emerging technologies like AI and crypto assets, and digital platforms like social media and mobile trading apps, are increasingly influencing how people invest.
FINRA Requests Comment on Proposed Amendments to Rule 5210 Regarding Publication of Indications of Interest
Exemptive relieve is granted based on the following considerations: (1) Firm A took prompt action once it became aware of the Contribution by instituting a self-ban on any Issuer new business solicitation; (2) Firm A sent an electronic reminder to all Firm A and Firm A affiliate employees about Firm A's requirements for pre-clearance of all political contributions; (3) at the time of the Contribution, Name had no personal involvement in soliciting new, or participating in existing, municipal securities business; (4) Firm A has now offered to put in place processes to help ensure the segregation of Issuer information flow, minimizing the potential for quid pro quo resulting from the contribution; and (5) although a less weighty factor, the contribution was returned.
This is completely ridiculous. If I have a brokerage account and read the disclosures on my broker's site, I know exactly what I'm doing and getting myself into. There is no need to babysit investors.
INFORMATIONAL
Membership And Registration Rules
Series 24, 26, And 62 Modified
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Corporate Securities Limited Representative (Series 62)
General Securities Principal (Series 24)
Investment Company Products/Variable Contracts Limited Principal
INFORMATIONAL
Arbitrator Classification
Effective Date: July 19, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rules 10308 and 10312 of the NASD Code of Arbitration
