Decimalization
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Decimalization
Executive Summary
Initial plans for Nasdaq® decimalization testing are included in this Notice to Members. Also, a summary is provided of the industry critical dates.
Questions/Further
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which
The FINRA Manual keeps investment professionals up to date on all our official regulations. It outlines FINRA’s unique rules and guidelines, as well as our current corporate organization. It consists of two main components:
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FINRA’s rules and guidelines ensure a safe and fair market. These rules are constantly changing to adapt to new developments in the industry.
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When a FINRA member firm plans to undergo a change in business operations it may be required to file a Form BD amendment and a Continuing Membership pursuant to FINRA Rule 1017(a)(5) depending on the nature of the change.When contemplating expansions to their business activities, firms must determine whether the proposed expansion (1) represents a material change in business
FINRA seeks comment on proposed amendments to FINRA Rules 5110 (Corporate Financing Rule—Underwriting Terms and Arrangements), 5121 (Public Offerings of Securities With Conflicts of Interest) and 5123 (Private Placements of Securities) to make substantive, organizational and terminology changes to the rules.
FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance.
Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm
First off, the amount of corruption in today's market is unbelievable. To see FINRA, an organization that is supposed to protect the integrity of the market; come out with baseless claims to try and keep the public from arguably the safest investment opportunities the market has to offer, definitely seems as if there's an agenda that's not in the best interest of the
