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Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA rules to reflect name changes to two FINRA departments: (1) the Office of Dispute Resolution and (2) the Department of Registration and Disclosure. Specifically, the proposed rule change would amend the General Standards, the
FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
M FINANCIAL SECURITIES MARKETING, INC.1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209M HOLDINGS SECURITIES, INC.1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207M SHARE CAPITAL LLC200 BRANNAN ST, NO.443, SAN FRANCISCO, CA 94107M STEVENS SECURITIES, LLC100 PACIFICA, SUITE 475, IRVINE, CA 92618M&A CAPITAL HOLDINGS, LLC704
SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
FINRA Announces Results of SFAB, NAC and District Committee Elections
I am here today to tell you about the NASD’s recently proposed rules governing analyst recommendations. In light of what we have heard today and in the weeks following the Enron revelations, I think you will agree that these rules will help American investors.
Washington, DC. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Robert W. Baird & Co. $500,000 for supervisory violations relating to its fee-based brokerage business.
Rulemaking topics discussed include:
debt research conflicts of interest,
expungement for persons not named as parties in arbitration claims,
fee adjustment proposals,
mediator selection,
optional TRACE data delivery services and related fees,
subpoenas and orders of production in arbitrations, and
threshold for simplified arbitration.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceTradingTraining
Executive Summary
Members are reminded that commission charges to customers in agency transactions are fully subject to all provisions of Article III, Section 4 of the NASD Rules of Fair Practice. As such, the NASD 5% Policy applies as equally to commissions on agency trades as it does to markups or markdowns on
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Jefferies & Company, Inc. $1.5 million for failing to disclose additional compensation received and conflicts in connection with the sale of auction rate securities (ARS).