Displaying 1191 - 1200 of 9025 Results
SummaryFINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1). The amendments revise
As of April 23, 1993, the following 53 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,065:
SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
Symbol
Company
Entry Date
SOES Execution Level
JARS
Alltrista Corporation
3/24/93
1000
CHCS
Chico's FAS, Inc.
3/24/93
1000
FFBG
First Federal Savings Bank of Brunswick Georgia
3/24/93
200
Michael Dillon, Senior Vice President, Enterprise Delivery Services, oversees FINRA’s assurance, engineering, user experience, operations, development tools and application support services.
Before joining FINRA in February 2006, Mr. Dillon served as the Corporate Director of Quality Assurance for a full-service contractor that specialized in large-scale information systems serving customers
I consider investing my own money a decision that I am fully capable of making without additional controls. The changes being considered to gate who has access to leveraged and inverse ETFs/Funds are barriers to entry. Personally, I use them in my investing to better manage market downturns and to gain better returns. In 2020 when the market was getting hammered, I was able to invest in an
SEC Staff Issues Guidance on Third-Party Recordkeeping Services
LONDON and WASHINGTON - The Financial Services Authority (FSA) and the US Financial Industry Regulatory Authority (FINRA) have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators.
The Communications with the Public section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
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As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
Reduction of Reporting Times for Agency Pass-Through Mortgage-Backed Securities Traded TBA