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SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Trading
Training
Executive Summary
The Securities and Exchange Commission's (SEC) Regulation M, which regulates the market activities of persons with an
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundTraining
Executive Summary
On March 17, 1994, the Securities and Exchange Commission (SEC) approved amendments to the NASD Rules of Fair Practice to: (1) require filings of investment company advertisements and sales literature that incorporate mutual fund rankings to include a copy of the ranking or comparison
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Bond market pricing is far more opaque than it should be. This rule change is a good step in the right direction. But, I assume there are market participants who benefit from this opacity, and would rather keep things as they are.
FINRA Requests Comment on the Efficacy of Allowing Compensated Non-Attorneys to Represent Parties in Arbitration
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
The Anti-Money Laundering (AML) section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 1, 1991, the SEC approved an NASD proposal to amend Schedule H to the NASD By-Laws to eliminate the current reporting thresholds of $10,000 or 50,000 shares so that the reporting requirements of Schedule H