In addition to disciplinary proceedings brought by FINRA’s Department of Enforcement, the Office of Hearing Officers also hears expedited proceedings. This Guide describes some of the Rules for expedited proceedings, which are fully set forth in Rule 9561 and the Rule 9550 and 9100 Series of FINRA’s Code of Procedure.
The purpose of this Guide is to assist the reader in understanding FINRA’s
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
GUIDANCE
Supervisory Controls
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Account Name/Designation Changes
Institutional Securities Activities
Rule 3012 (Supervisory Control Systems)
Rule 3110 (Books and Records)
Supervision
Supervisory Control Procedures
Executive Summary
On September 30, 2004, the
The following FAQ is provided to facilitate firms' compliance with FINRA Rules 5190 (Notification Requirements for Offering Participants), 6275 (Withdrawal of Quotations) and 6435 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M). A comprehensive overview of these rules and related guidance is set forth in Regulatory Notice 08-74 and Regulatory
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Executive Summary
On February 21, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) an amendment to NASD ® Conduct Rule 2340 to regulate the disclosure of values for unlisted and illiquid direct participation program (DPP) and
Remarks by Chairman and CEO Rick Ketchum at the Security Traders Association Annual Conference
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers.
The amendments to SEC Rule 15c3-l will
