On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
<p>Applicability of NASD Rules to registered representatives of subsidiary bank of member broker/dealer.<br/></p>
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Adopts Amendments Relating to Regulation NMS Plan to Address Extraordinary Market Volatility
Price Validation and Price-Override Protocol
On Monday and Tuesday of this week FINRA observed a small number of TRACE and ORF clients experiencing difficulties with their connections to the TRAQS website.
FINRA has observed a small number of TRACE and ORF clients experiencing difficulties with their connections to the TRAQS website. FINRA is currently researching the problem.
TRAQS clients with questions regarding this issue should contact FINRA Market Operations at (866) 776-0800.
Beginning Monday, September 30, 2024, FINRA will require Multi Factor Authentication (MFA) for access to all production API reference data files. To access the API via MFA, users will need to be entitled to use the product, have an assigned user name (email address) and password, answer security questions and enroll in one or more additional authentication methods. To gain access, users are
Changes Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Senior Management
NASD Rule 11890
Executive Summary
On January 22, 2003, the Securities and Exchange Commission (SEC) approved changes to NASD Rule 11890 regarding the handling of clearly erroneous transactions. The changes, which take effect immediately, are intended
