Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.
SEC Approves Rule Establishing an Interim Pilot Program on Margin Requirements for Transactions in Credit Default Swaps
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
INFORMATIONAL
Primex Auction System
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Trading Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and Nasdaq® Boards have agreed to establish the Primex Auction SystemTM, a new trading system designed to
GUIDANCE
Private Placements of Tenants-in-Common Interests
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Internal Audit
Legal & Compliance
Registered Representatives
Retail
Senior Management
Broker-Dealer Registration
Due Diligence
Non-Conventional Investments
Private Placements
Real Estate
Rule 2420
Suitability
Executive Summary
This Notice addresses Section 1031 tax-
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
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The Financial Industry Regulatory Authority, Inc. (“FINRA”) provides investor education content, security-specific product data (described below) and publicly disseminated trade report on transactions in TRACE-eligible, fixed income securities through the bond facts tool. The data accessed through the tool and the bond facts tool are herein after referred to as the “Bond Facts Tool".
Obligation of Broker-Dealers to Conduct Reasonable Investigations in Regulation D Offerings
