The annual IRS contribution limits are increased periodically due to inflation, but they are not increased every year. The table on this page provides an overview of the maximum annual contribution limits for the current year.
« Previous: How to ApplyThe Membership Application Program (MAP) Group has a dedicated front-line team of analysts (the Triage Group) to conduct an initial assessment of each New Member Application, Continuing Membership Application, Materiality Consultation, Membership Agreement Change and Two Principal Waiver.During this initial assessment, the Triage Group evaluates
FINRA Rule 2359(a) provides that “…no member shall effect for any account in which such member has an interest, or for the account of any partner, officer, director or employee thereof, or for the account of any customer, a purchase or sale transaction in an index warrant listed on a national securities exchange if the member has reason to believe that as a result of such transaction the member,
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).
FINRA has developed a new report to assist firms with monitoring their supervision for trading behaviors that may be designed to manipulate the market. This new Cross Market Equities Supervision: Potential Manipulation Report displays exceptions around two behaviors—layering and spoofing - concerns recently highlighted in FINRA’s 2016 Regulatory Examination Priorities Letter.
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).
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).
The FINRA Board of Governors will consider the following rulemaking items at its April 2015 meeting: <br><br>
<ul>
<li>Communications with the public</li>
<li>Mark-up/mark-down rule application to US treasury securities</li>
<li>Municipal advisor exam fee</li>
<li>Trading activity fee</li>
</ul>
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 takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
