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2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Advertising
Investment Banking
Research Reports
Executive Summary
On May 10, 2002, the SEC approved new NASD Rule 2711, Research Analysts and Research Reports. The rule is intended to improve the objectivity of research
(a) Methods
The following methods of service are permitted:
(1) Personal Service
Personal service may be accomplished by handing a copy of the papers to the person required to be served; leaving a copy at the person's office with an employee or other person in charge thereof; or leaving a copy at the person's dwelling or usual place of abode with a person of suitable age and
FINRA is highlighting a recent Federal Bureau of Investigation (FBI) Flash published on August 23, 2023. According to the FBI Flash, all exploited Barracuda Email Security Gateway (ESG) appliances, even those with up-to-date security patches, remain at risk for continued computer network compromise from threat actors exploiting a zero-day vulnerability documented in CVE-2023-2868.
INFORMATIONAL
Hard To Borrow List
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Trading & Market Making
Affirmative Determination
NASD Rule 3370
Short Sales
Executive Summary
On March 23, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of
FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
FINRA announced today that it has fined M1 Finance LLC $850,000 for social media posts made by influencers on the firm’s behalf that were not fair or balanced, or contained exaggerated, unwarranted, promissory, or misleading claims.
