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FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
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
2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
Treatment of Non-Margin Eligible Equity Securities
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
FINRA reminds members that option holders who hold expiring options have until 5:30 p.m. Eastern Time (ET) on the day of expiration to make a final exercise decision to exercise or not exercise the option.1 Members may establish an earlier time to accept exercise instructions for customer or non-customer accounts but may not accept instructions after 5:30 p.m. ET.2 Members should ensure customers
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD Rules of Fair
SEC Approves New FINRA Rule Relating to the Processing of and Fees for Company-Related Actions for Non-Exchange-Listed Securities
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches