Displaying 941 - 950 of 28151 Results
The Consolidated Audit Trail (CAT) section of the 2022 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.
Deleted by SR-FINRA-2010-060 eff. Dec. 15, 2010.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.
Amended by SR-NASD-2004-175 eff. Jan. 3, 2005.
Adopted eff. July 14, 1993.Selected Notices: 93-53, 10-49.
The party making delivery shall have the right to require the purchase money to be paid upon delivery by certified check, cashier's check, bank draft or cash.
Amended by SR-FINRA-2010-030 eff. Dec. 15, 2010.Selected Notice: 10-49.
Each capital acquisition broker must designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
The parties must cooperate to the fullest extent practicable in the exchange of documents and information to expedite the arbitration.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
The parties must cooperate to the fullest extent practicable in the exchange of documents and information to expedite the arbitration.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2003-158 eff. April 16, 2007.Selected Notice: 07-07, 08-57.
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is September 19, 1983
Enclosed herewith is a proposed new rule under Article III of the Rules of Fair Practice. Proposed Section 38 was approved by the Association's Board of Governors and now requires the approval of the membership. If approved, it must then be filed with, and approved by,
On January 31, 2022, FINRA introduced the Participant Data Management System (“PDM”) which firms now use to manage access to the FINRA trade reporting facilities, including TRACE, ORF and ADF. PDM also allows firms to add, view, and modify users of the TRAQS web interface. Firms are strongly encouraged to use PDM to review their TRAQS users on a regular basis to ensure that accounts remain valid
(a) Application of FINRA Rule 9000 Series (Code of Procedure) to Funding PortalsExcept for the FINRA Rule 9520 Series, FINRA Rule 9557, FINRA Rule 9561, and the FINRA Rule 9700 Series, all funding portal members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:(1) the term "member" as used in the FINRA Rule 9000 Series shall
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election