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FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
Summary
In August 2019, FINRA launched a retrospective review that, among other things, sought stakeholders’ input on the effectiveness of Rule 3240 (Borrowing from or Lending to Customers).1 Based on feedback received during the review, FINRA is proposing amendments to Rule 3240 to:
emphasize that the rule generally prohibits registered persons from entering into borrowing or lending
Entity should obtain a "no action" letter from the SEC before NASD Regulation will determine whether payment of non-transaction-based compensation from a member to a non-member for administrative and clerical services under a preferred alliance agreement would violate Rule 2420.
TO: All NASD Members and Other Interested Persons
On January 20, 1986, the NASD issued Notice to Members 86-4, announcing the Securities and Exchange Commission's approval of new Article III, Section 41 of the NASD Rules of Fair Practice. The new rule requires all NASD members to maintain a record of their total "short" positions in NASDAQ securities in all customer and
There will be a traffic interruption in fileX service in PROD environment for the duration below. Users can re-establish connection and resume file transfers after the maintenance window.PROD: Saturday June 22, 2024 from 10:00 am a.m to 1:00 p.mContact FINRA Support Center at (800) 321-6273, or by email, if you have any questions.
Executive Summary
The NAC has revised the principal considerations in the Sanction Guidelines to expressly contemplate a customer’s age or physical or mental impairment that renders the individual unable to protect his or her own interests.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Registration
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 28 of the NASD
Sec. 9.2 The fiscal year of FINRA Dispute Resolution shall begin on the first day of January in each year, or such other month as the Board may determine by resolution.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9, 2000.Selected Notice: 10-32.
Sec. 8.2 The stockholder shall be entitled to a certificate or certificates in such form as shall be approved by the Board, certifying the number of shares of capital stock of FINRA Dispute Resolution owned by the stockholder.
Deleted by SR-FINRA-2015-034 eff. Dec. 20, 2015.
Amended by SR-FINRA-2010-007 eff. Aug. 2, 2010.
Adopted by SR-NASD-99-21 eff. July 9, 2000.Selected
Firms that apply for FINRA membership pursuant to IM-1013-3 shall be assessed one-half the applicable membership application fee set forth in Section 4(e) of Schedule A to the FINRA By-Laws. Those firms will otherwise remain subject to the FINRA By-Laws and Schedules to By-Laws, including Schedule A.Adopted by SR-FINRA-2023-014 eff. Oct. 30, 2023.Selected Notice: 23-19.