Notice of FINRA District Committee Election and Ballots
Notice of FINRA Small Firm Advisory Board Election and Ballots
Notice of Election and Ballots for FINRA Small Firm NAC Member Seat
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
Representations under Rules 5130 and 5131 may be obtained electronically through a mobile application, provided that the method for obtaining representations complies with SEC and FINRA guidance regarding the use of electronic communications, and the representations satisfy the requirements set forth in Rules 5130 and 5131.
December 11, 2017
Lawrence Cohen
Of Counsel
Gordon Rees Scully
October 12, 2006
On July 17, 2006, NASDAQ published Head Trader Alert #2006-105 announcing that the SEC had approved NASDAQ's System Integration proposal allowing NASDAQ® to integrate the NASDAQ Market Center®, Brut and INET into a single platform.(http://www.nasdaqtrader.com/TraderNews.aspx?id=hta2006-105). On August 16, 2006, NASDAQ announced in head trader Alert #2006-116 that the single
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith Incorporated $1.4 million for failing to establish a reasonable supervisory system and procedures to identify and evaluate extended settlement transactions, and for related rule violations.
Extended settlement transactions have a longer time between
August 7, 2006
NASD is publishing this article to provide additional guidance to members regarding use of the Routing Method Code of "S" (Smart Router) on Route and Combined Order/Route Reports.1
For purposes of OATS reporting, NASD defines a Smart Router as a system that, based on predetermined logic applied to variable market conditions, determines without human intervention, the
SEC Approves Amendments to Arbitration Codes to Raise the Limit for Simplified Arbitration From $25,000 to $50,000
