Displaying 2461 - 2470 of 28153 Results
Confidentiality Provisions in Settlement Agreements and the Arbitration Discovery Process
SEC Approves “Pay-to-Play” and Related Rules for Capital Acquisition Brokers (CABs)
FINRA requests comment on two proposed changes to the TRACE reporting rules that were recommended by the Securities and Exchange Commission’s Fixed Income Market Structure Advisory Committee. The proposed changes would require firms to: (1) identify corporate bond trades where the price of the trade is based on a spread to a benchmark Treasury security that was agreed upon earlier in the day (i.e
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is publishing interpretations of restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ These restrictions (hereinafter the "Venture Capital Restrictions") were added to the
For Your Information
As described in NASD Notice to Members 01-67, President Bush issued an executive order on September 24, 2001, blocking the property of and prohibiting transactions with persons who commit, threaten to commit, or support terrorism. The order was issued through the U.S. Treasury's Office of Foreign Assets Control (OFAC); the offices of the Secretaries of State and
New Payments for Market Making Certification Requirement for FINRA Form 211
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.EXECUTIVE SUMMARY
Fairness of markups and markdowns charged by members in principal equity transactions with customers has become an increasingly important issue to
2014 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
GUIDANCEOrder-Routing and Execution SystemsSUGGESTED ROUTINGKEY TOPICSInstitutionalInternal AuditLegal & ComplianceOperationsSenior ManagementSyndicateSystemsTrading OperationsOrder-Routing and Execution SystemsRule 3010Rule 3310 and IM-3310SupervisionTrading and Market Making Systems Executive SummaryIn recent months, there have been several instances where member firms inadvertently
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that facilitates vibrant capital markets. The purpose of this Notice is to:
encourage member firms and other interested parties