TO: All NASD Members
The Board of Governors of the Federal Reserve System has adopted a number of important revisions to Regulation T. These amendments are effective on November 21, 1983; however, at their option, members may elect to operate under the revised provisions after June 20, 1983. A detailed summary of the major revisions and the text of the amended rule follows.
These changes to
FINRA Requests Comment on a Proposed Supplemental Schedule for Inventory Positions
Updated as of January 30, 2025FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes. These retrospective reviews look at
Bitcoin is a popular cryptocurrency, which is a form of electronic cash, in which a ledger of all transactions is stored as a blockchain. In this article we will show how to compile your own local copy of the Bitcoin client, run it, and add custom commands in order to inspect various attributes of the underlying blockchain.
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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
TRACE Reporting Timeframes and Transparency Protocols1Type of TRACE-Eligible SecurityOther Transactions - Reporting TimeframesList or Fixed Offering Price Transaction (as defined in FINRA Rule 6710(q)), or Takedown Transaction (as defined in FINRA Rule 6710(r))- Reporting TimeframeTransparency2Corporate Bond (see FINRA Rule 6710(a))Within 15 minutes of time of execution (see
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
In January 2003, NASD’s Advertising Regulation Department contacted 64 NASD member firms to determine their level of compliance with the NASD and SEC rules that govern advertisements and sales literature for hedge funds and funds of hedge funds. Twenty-five firms responded that they had not used such communications during the subject time period. Thirty-nine firms responded with submissions of
