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New FINRA360 Initiative Provides Small Firms Additional Assistance
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today launched a Small Firm Helpline, the latest in a series of actions to enhance support for small firms that have been taken as part of the FINRA360 organizational improvement program.
FINRA employees answering the toll-free Helpline, which will operate 9 a.m.
Rule Filing Status As Of December 3, 1996
NASD Rule Filing Status
Following is a list of rule filings by the NASD regarding broker/dealer regulation that are pending at the Securities and Exchange Commission (SEC) or recently approved. The information set forth below is current as of December 3, 1996. Copies of rule filings (and any amendments thereto), the SEC release publishing the rule
The nation's primary self-regulatory organizations for the securities industry - the Financial Industry Regulatory Authority (FINRA) and NYSE Regulation, Inc.- today announced an agreement with ten U.S. exchanges to strengthen investor protection by consolidating the surveillance, investigation and enforcement of insider trading in equity securities.
To help members track the status of NASD®Rule filings submitted to the Securities and Exchange Commission (SEC), the NASD will publish this information bimonthly in Notices to Members.
Following is a list of Rule filings by the NASD regarding broker/dealer regulation that are pending at the SEC or recently approved. Copies of Rule filings (and any amendments), the SEC release publishing the
FINRA’s Board of Governors met on December 1 and 2—and it approved two rule proposals and the organization’s 2022 budget, appointed several members to the Small Firm Advisory Committee (SFAC) and to the National Adjudicatory Council (NAC), and received an update on recently concluded Regional Committee and SFAC elections.
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsSystems
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-l, effective June 1, 1995, establishes three business days as the standard settlement time frame for most securities transactions. Although municipal securities currently are exempt from the rule, the SEC has requested the Municipal
TO: All NASD Members
Effective November 13, 1984, all securities designated for inclusion in the NASDAQ National Market System will, as of the date of designation, become immediately marginable. This change is the result of recent amendments adopted by the Federal Reserve Board to its credit regulations governing the extension of credit by broker-dealers (Regulation T), banks (Regulation U), and
The warning bells are ringing. From regulators, law enforcement agencies, and consumer organizations around the globe, the message is clear: fraudulent schemes related to the coronavirus (COVID-19) pandemic have arrived, and they are coming in many forms.
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
The NASDAQ market has over the past several years experienced a sustained period of growth which in many ways is attributable to the use of technologically advanced facilities and systems that have served to enhance the quality of this marketplace. The significant growth and visibility of the NASDAQ market, along with the