(a) When and How Transactions are Reported(1) OTC Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the OTC Reporting Facility, or if the OTC Reporting Facility is unavailable due to system or transmission failure, by telephone to the Operations Department, last sale reports of transactions in OTC Equity Securities executed
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Summary
FINRA is issuing this Notice to remind member firms of their obligations during extreme market conditions with respect to handling customer orders, maintaining appropriate margin requirements and effectively managing their liquidity.
Questions concerning the best execution guidance discussed in this Notice should be directed to:
Patrick Geraghty, Vice President,
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Mutual Fund
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your
Notice of Annual Meeting of FINRA Firms and Proxy
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
The Annual Meeting of member firms of the Financial Industry Regulatory Authority, Inc. (FINRA) will be October 26, 2007 at 10 a.m. in the FINRA Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of governors to the FINRA Board. Member firms can also raise other topics for discussion if they notify FINRA by October 19, 2007.1
It is
