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Displaying 11001 - 11010 of 11074 Results
Guidance
FLEX Equity Options Position & Exercise Limit Rules
October 29, 2014
FLEX Equity Options Position & Exercise Limit Rules FINRA Rule 2360(b)(2) provides that “[t]he position and exercise limits for FLEX Equity Options for members that are not also members of the exchange on which FLEX Equity Options…
Guidance
Index Options Position Limit Rules
October 29, 2014
Index Options Position Limit Rules FINRA Rule 2360(b)(3)(B) 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…
Guidance
Equity Options Position Limit Rules
October 29, 2014
Equity Options Position Limit Rules FINRA Rule 2360(b)(3)(B) 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 therof, or for…
Events & Training
NASD Workshop For Members: Books & Records Amendments Telephone Transcript
April 10, 2003
NASD Workshop For Members: Books & Records Amendments Telephone Transcript April 10, 2003 2:00 P.M. Kyra: Hello. Good afternoon and welcome to the Regulatory and Compliance Workshop. My name is Kyra Armstrong. I'm an attorney in…
News Release
FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures
October 27, 2014
FINRA Fines Merrill Lynch a Total of $6 Million for Reg SHO Violations and Supervisory Failures WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has censured and fined Merrill Lynch Professional Clearing Corp. (Merrill Lynch PRO) $3.5 million for violating Regulation SHO, an SEC rule that established a regulatory framework to govern short sales and prevent abusive naked short selling.…
Investor Education
Alternative and Complex Products
September 30, 2014
Alternative and Complex Products Investment products abound that offer alternatives to conventional stock and bond investments. These products are sometimes referred to as structured products or non-conventional investments. They tend to…
Investor Education
Money Market Securities and More
February 2, 2015
Money Market Securities and More There are a number of bond categories that are primarily traded by professional or experienced investors and differ from Treasuries, munis, corporates, agencies and mortgage-backed securities. They…
News Release
FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities
April 24, 2008
FINRA Alert Cautions Investors on Speculating with Catastrophe Bonds and Other Event-Linked Securities Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert today warning investors about the risks of speculating on natural disasters with event-linked securities, such as catastrophe bonds or "cat bonds." Cat bonds offer high yields but can quickly lose most or all of their value if a…
Investor Education
Insurance-Linked Securities
July 9, 2021
Bonds Insurance-Linked Securities July 09, 2021 FINRA Staff…
Events & Training
FINRA Firm Grouping Member Forum: Diversified and Carrying & Clearing
April 20, 2021
FINRA Firm Grouping Member Forum: Diversified and Carrying & Clearing FINRA Firm Grouping Member Forums are one-day free events designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The forums also include thoughtful discussions around the future landscape of the financial services industry…