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Ruling of the Committee:
A dealer in an Eastern city leaves a bid or offering with a dealer in a Western city good until the close of the latter's business day. The Western dealer accepts the bid or offering on that day but, due to the difference in time between the two localities, its notice of acceptance is received by the Eastern dealer on the following day.
Published January 5, 2024.Updated June 12, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement dates
It is important to continue to allow individual investors to freely invest in inverse and leveraged ETF's and similar. Although it may be true that uninformed investors may cause great harm to themselves because the do not understand, the brokerage industry has provided significant notices and warnings to investors of the potential negative results of their decisions. As always, "caveat
Notice to members 84-16
NOT AVAILABLE AT THIS TIME
Currently, the FINRA Test Facility (NTF) for TRACE Corporate and Agency Debt and Securitized Products was modified to limit trade retention to five rolling business days.
During this time the NTF Trade Management Window allowed users to search and view trades reported to TRACE within the past rolling five business days (T-5) instead of the standard rolling T-20 business day period.
Beginning
The Outside Business Activities and Private Securities Transactions 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.
FINRA will be performing scheduled maintenance to the OTCE.FINRA.org and OTCTransparency.FINRA.org websites on Saturday, September 12, 2020, from approximately 10 a.m. to 4 p.m. ET. During this time, these websites will be unavailable to users.
Please contact FINRA Support with any questions regarding this notice.
Comment Period Expires: June 30, 1997
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their disclosure obligations when marketing mutual funds and other securities and requests comment on whether a rule should be adopted creating a requirement to disclose
Summary
FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.
Questions concerning this Notice should be directed to:
Michael Garawski, Associate General Counsel
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and