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Listen to Brooke, a manager of FINRA’s Securities Helpline for Seniors
(a) No member or person associated with a member that participates in a selling syndicate or selling group or that acts as the single underwriter in connection with a fixed price offering shall offer or grant, directly or indirectly, to any person or account that is not a member of the selling syndicate or selling group or that is a person or account other than the single underwriter any
To conduct securities transactions and business with the investing public in the United States, firms must file Form BD with the U.S. Securities and Exchange Commission, appropriate self-regulatory organizations (SROs), including FINRA, and jurisdictions. Firms can file full or partial withdrawals of registration by submitting Form BDW (Uniform Request for Broker-Dealer Withdrawal).Applicant
(a) GeneralNo member or associated person shall, directly or indirectly, pay any compensation, fees, concessions, discounts, commissions or other allowances to:(1) any person that is not registered as a broker-dealer under Section 15(a) of the Exchange Act but, by reason of receipt of any such payments and the activities related thereto, is required to be so registered under applicable federal
Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently adopted seven rules ("Rules") under the Securities Exchange Act of 1934 requiring broker/dealers engaging in certain recommended
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendments would revise, simplify, and add a recordkeeping requirement
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Options
Trading
Executive Summary
Through this Notice, NASD Regulation, Inc. (NASD RegulationSM) is establishing an interpretation that National Association of Securities Dealers, Inc. (NASD®) Rule 2860(b)(3) options position limits apply with respect to options transactions that are intermediated
E&J SECURITIES CORP.C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005Mailing Address: C/O ACCOUNTING & COMPLIANCE INTERNATIONAL, 77 WATER STREET, SUITE 1604, NEW YORK, NY 10005E. E. POWELL & COMPANY INC.200 NORTHPOINTE CIRCLE, SUITE 304, SEVEN FIELDS, PA 16046E.K. WALLACE SECURITIES LLC25 WEST 13TH STREET, APT. 1AN, NEW YORK
